Stifel

Broker Chuck Roberts in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

May 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chuck Roberts (Roberts), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Roberts recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on April 25, 2025.

Claimants allege breach of fiduciary duty, negligence, fraud, breach of contract, violation of sections 10(b) and 20(a) of the Securities Exchange Act and Rule 10b-5, and violation of the Texas Securities Act.

Broker Danny Davis in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

May 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Danny Davis (Davis), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Davis recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,031,605.00 on April 22, 2025.

Customer alleges unauthorized trading that resulted in significant losses and excessive commissions.

Broker Robert Cohen in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

May 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Cohen (Cohen), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Cohen recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on May 15, 2024.

Claimants, as Personal Representatives of the deceased client’s Estate, allege common law fraud, negligence, breach of contract, breach of fiduciary duty, violation of Section 10(b) of Securities Exchange Act of 1934 and FINRA Rule 2020, violation of Section 20(a) of Securities Exchange Act of 1934, and unsuitability.

Broker Loren Morrison in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

April 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Loren Morrison (Morrison), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Morrison recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $400,000.00 on June 18, 2024.

Claimants allege violation of FINRA Rules 2111 and 2010, unauthorized trading, breach of fiduciary duty, negligence and breach of contract.

There are Recent Customer Complaints with Broker Virginia Panjvani in Firm Stifel, Nicolaus & Company, Incorporated

April 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Virginia Panjvani (Panjvani), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Panjvani recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $84,522.88 on February 26, 2025.

Customer alleges registered representative’s lack of action to liquidate trust account assets on 2/24/2025 and 2/25/2025 resulted in losses.

There are Recent Customer Complaints with Broker Richard Stone in Firm Stifel, Nicolaus & Company, Incorporated

April 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Stone (Stone), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Stone recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $500,000.00 on March 24, 2025.

Claimants allege breach of fiduciary duty, negligence, fraud, breach of contract, violation of sections 10(b) and 20(a) of the Securities Exchange Act and Rule 10b-5, and violation of the Montana Securities Act.

There are Recent Customer Complaints with Broker Ellen Harless in Firm Stifel, Nicolaus & Company, Incorporated

April 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ellen Harless (Harless), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Harless recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $750,000.00 on August 06, 2024.

Claimant alleges breach of fiduciary duty, civil conspiracy, negligence and unjust enrichment.

Broker Sara Jankowski in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

March 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sara Jankowski (Jankowski), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one tax lien, alleging that Jankowski recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on September 03, 2024.

Respondent Jankowski failed to respond to FINRA requests for information.

Broker Lawrence Feldmesser in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

March 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lawrence Feldmesser (Feldmesser), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Feldmesser recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $189,844.00 on August 30, 2024.

Claimants allege negligence, negligent misrepresentation, and violation of Wisconsin’s Uniform Securities Law.

Broker Roy Williams in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

March 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roy Williams (Williams), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least 2 disclosable events. These events include one customer complaint, one tax lien, alleging that Williams recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on September 05, 2024.

Without admitting or denying the findings, Williams consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA during the course of an investigation that originated from a Form U5 submitted by his member firm. The findings stated that the Form U5 disclosed that Williams had been discharged for obtaining loans from firm clients and making misrepresentations regarding client loans on annual certifications. Although Williams initially cooperated with FINRA’s investigation, he ultimately ceased doing so.