Securities Lawyers Blog
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 2 disclosable events. These events include 2 customer complaints, 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 $1,000,000.00 on October 02, 2024.
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 Florida Securities and Investor Protection Act
