Stifel

There are Recent Customer Complaints with Broker Kyle Adams in Firm Stifel, Nicolaus & Company, Incorporated

August 24, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 26, 2025.

Customer alleges registered representative failed to invest cash held in managed accounts, and customer claims registered representative provided inaccurate explanations regarding timing of investment and advisory fees.

There are Recent Customer Complaints with Broker Charles Jensen in Firm Stifel, Nicolaus & Company, Incorporated

August 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint with a damage request of $149,483.12 on June 25, 2025.

Customer alleges registered representative purchased more options than the customer authorized.

Broker David Morris in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

August 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on January 11, 2024.

Respondent Morris failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

Broker Michael Fahsholtz in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

August 9, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on May 26, 2024.

Suitability violations in recommending high concentrations of junk bonds to clients

Broker Timothy Darragh in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

July 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 25, 2025.

Claimants allege breach of fiduciary duty, negligence, unjust enrichment, violation of The Illinois Consumer Fraud and Deceptive Practices Act, and trust accounting.

Broker William Hadden in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

July 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Hadden (Hadden), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Hadden 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 $1,626,116.07 on June 02, 2025.

Claimants allege breach of professional and fiduciary duties, breach of contract and violation of FINRA Rules, Consumer Protection Act, unjust enrichment, and failure to respond to reasonable inquiry.

There are Recent Customer Complaints with Broker Mary Swanson in Firm Stifel, Nicolaus & Company, Incorporated

July 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mary Swanson (Swanson), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Swanson 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 $76,000.00 on August 15, 2023.

Claimants allege breach of contract, negligence, and breach of fiduciary duty.

Broker Herbert Buchbinder in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

July 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Herbert Buchbinder (Buchbinder), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Buchbinder 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 $76,000.00 on August 15, 2023.

Claimants allege breach of contract, negligence, and breach of fiduciary duty.

Broker Kenneth Ramos in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

July 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Ramos (Ramos), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Ramos 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 $1,300,000.00 on October 02, 2023.

Claimant alleges breach of fiduciary duty, unsuitable investments, unauthorized transactions, failure to act in the “best interest” of the Claimant, excessive commissions, misrepresentations and omissions, negligence, and violation of state and federal securities laws.

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

June 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lawrence Boss (Boss), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Boss 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 $186,617.46 on November 13, 2023.

Customer alleges that in 2019 registered representative did not advise customer that selling securities would trigger capital gains tax, which amounted to $23,509.80.