Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Susan Ezekiel (Ezekiel), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Ezekiel recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $100,000.00 on July 31, 2020.
Error made is 1035 exchanges for estate consolidation resulting in additional taxes of $6,704.75. Client declined offer and now is charging unsuitability, fraud and negligence