Stifel

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.

There are Recent Customer Complaints with Broker Patrick Dever in Firm Stifel, Nicolaus & Company, Incorporated

March 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Dever (Dever), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Dever 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 September 06, 2024.

Customer alleges unsuitable investments in stocks and excessive fees/commissions on unit investment trusts.

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

March 15, 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 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

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

February 14, 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 2 disclosable events. These events include 2 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 $5,000,000.00 on January 16, 2025.

Claimants alleges violations of Section 10(b) of the Securities Exchange Act, violation of Regulation Best Interest, and breach of fiduciary duty.

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

February 4, 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 18 disclosable events. These events include 18 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 $5,000,000.00 on December 05, 2024.

Claimant alleges breach of fiduciary duty, negligence, fraud, breach of contract, and violation of sections 10(b) and 20(a) of the securities exchange act and rule 10b-5.