Stephen Paul Courtney of Pasadena California a stockbroker currently employed by Stifel Nicolaus Company Incorporated is the subject of a customer initiated investment related arbitration claim where the customer sought $238,050.00 in damages supported by accusations that (1) transactions were effected in violation of the securities laws of the State of California (2) misrepresentations and omissions had been made to the customer concerning equity transactions (3) transactions were executed in the customer’s account that were not suitable for the customer (4) the customer’s account was handled in a negligent manner and (5) the customer was defrauded while Courtney was associated with Stifel Nicolaus Company Incorporated. Financial Industry Regulatory Authority (FINRA) Arbitration No. 19-00279 (Jan. 24, 2019).

FINRA Public Disclosure reveals that another customer initiated investment related complaint regarding Courtney’s activities was resolved for $13,500.03 in damages based upon allegations that while Courtney was associated with Salomon Smith Barney, unsuitable stock and corporate bond investment recommendations were made to the customer, and the customer suffered from unwarranted poor performance on the investments selected for the customer’s account.

Courtney has been registered with Stifel Nicolaus Company Incorporated since November 28, 2007.

The information contained herein has been obtained from reliable sources however may not be accurate and is not guaranteed by us. Readers are encouraged to undertake their own independent investigation and evaluation of the relevant facts. All claims and allegations are subject to adjudication, decisions may be subject to appeal, and no inference is intended, nor should any inference be made from any information contained herein from any source.

Questions or comments regarding the source or accuracy of any information, including any subsequent developments, should be directed to:  [email protected]

This posting and the information on our website is for general information purposes only. This content should be not considered legal advice, and any responses, comments, e-mails, other communications do not form any attorney client relationship. Attorney Advertisement. See Important Disclaimer.

Guiliano Law Group, P.C.

Our practice is limited to the representation of investors. Over the last three decades, we have recovered more than a hundred million dollars for more than 1,000 injured investors from all over the United States and several foreign countries. We accept representation purely on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a confidential consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.

For more information concerning common claims against stockbrokers and investment professionals, please visit us at stockbrokerfraud.com

To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com

Stockbroker Fraud. Securities Arbitration and Investment Fraud Lawyers.  
National Practice. Contingent Fee. Confidential Free Consultation.

 (877) SEC-ATTY

Tags: ,

No comments yet.

Leave a Reply

Name (required)

Email (will not be published) (required)

Website

%d bloggers like this: