DID JAMES KKYLE ROCKFORD CAUSE YOU INVESTMENT LOSSES?
James Rockford Of Stifel, Nicolaus & Company, Incorporated Has A Customer Complaint For Alleged Broker Misconduct
About James Rockford of Stifel, Nicolaus & Company, Incorporated?
James Rockford (CRD #2454607) currently associated with Stifel, Nicolaus & Company, Incorporated in Houston, Texas since 2009, has a professional background fraught with potential concerns. Registered across 15 states and territories, Rockford has passed three general industry/product exams and a single multi-state securities law exam. His career includes a stint at several firms, including Wachovia Securities and A.G. Edwards & Sons.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
James Rockford Customer Complaint and Reviews
Customer Dispute (Pending as of May 2023): Rockford is currently embroiled in a dispute involving allegations of misappropriation linked to mutual fund transactions in December 2021. The customer has alleged mismanagement in the automated periodic rebalancing of a mutual fund within a custom advisory portfolio account, although the firm has denied these claims. This pending dispute raises serious concerns about his transaction handling and ethical practices.
Allegations Against James Rockford
- Misappropriation of Funds: The core accusation involves alleged misconduct with mutual fund transactions, suggesting potential mismanagement or unethical behavior in handling client funds.
- Pending Resolution: With the complaint currently unresolved, this allegation casts a shadow over Rockford’s professional conduct.
James Rockford Red Flags & Your Rights As An Investor
Of course, James Rockford did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of James Rockford at Stifel, Nicolaus & Company, Incorporated on alert to review carefully the activity and performance of their accounts and question whether James Rockford has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stifel, Nicolaus & Company, Incorporated, also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Stifel, Nicolaus & Company, Incorporated Due To James Rockford
If you have questions about Stifel, Nicolaus & Company, Incorporated and/or James Rockford and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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