DID ROBERT DAVID COHEN CAUSE YOU INVESTMENT LOSSES?
Robert Cohen Of Stifel, Nicolaus & Company, Incorporated Has 5 Customer Complaints For Alleged Broker Misconduct
About Robert Cohen of Stifel, Nicolaus & Company, Incorporated?
Robert Cohen (CRD #1162192) is currently registered with Stifel, Nicolaus & Company, Incorporated, in Melville, New York, since October 5, 2018. His extensive registration history includes affiliations with notable firms such as UBS Financial Services and Morgan Stanley, highlighting a long-standing presence in the financial services industry. Cohen is registered with six Self-Regulatory Organizations (SROs) and licensed across 27 U.S. states and territories. His qualifications include passing three principal/supervisory exams, three general industry/product exams, and two multi-state securities law exams, showcasing a comprehensive understanding of various regulatory and financial aspects required for his roles.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Robert Cohen Customer Complaints and Reviews
Robert Cohen’s FINRA report indicates multiple disclosures:
- Customer Disputes: There are 5 customer disputes listed.
- Settled Dispute (Reported on 11/09/2010, Settled on 07/09/2012): Clients alleged mismanagement of their accounts and misrepresentations from 2000 to 2008, with a settlement amount of $4,000.
- Other Resolutions: Various disputes involved claims of misrepresentation of account access fees and investment liquidity, with some resulting in significant settlement amounts.
- Termination: Cohen was discharged from UBS Financial Services on September 25, 2018, due to violations of firm policy and FINRA rules regarding unauthorized monetary benefits to an employee and providing inaccurate statements during an investigation.
Allegations Against Robert Cohen
The allegations and accusations reported in Robert Cohen’s FINRA disclosures primarily involve:
- Mismanagement and Misrepresentation: Repeated claims from clients regarding the alleged mismanagement of accounts and misleading statements about the nature of investments.
- Unauthorized Activities and Misrepresentation of Fees: Allegations include unauthorized purchases and misrepresentations regarding account management fees.
- Violations of Regulatory Standards and Firm Policies: His termination from UBS highlighted alleged rule violations and improper conduct regarding financial disclosures and interactions with other firm employees.
William Cerf Red Flags & Your Rights As An Investor
Of course, Robert Cohen 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 Robert Cohen at Stifel, Nicolaus & Company, Incorporated on alert to review carefully the activity and performance of their accounts and question whether Robert Cohen 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 Robert Cohen
If you have questions about Stifel, Nicolaus & Company, Incorporated and/or Robert Cohen 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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