Securities Lawyers Blog
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.