DID ALAN JEFFREY COHEN CAUSE YOU INVESTMENT LOSSES?

Alan Cohen Of Stifel, Nicolaus & Company Incorporated And Formerly With UBS Financial Services Inc. Has 4 Customer Complaints For Alleged Broker Misconduct

Who is Alan Cohen of Stifel, Nicolaus & Company Incorporated?

Alan Cohen (CRD #1465867) who is currently registered as a broker and investment adviser with Stifel, Nicolaus & Company Incorporated and located in New York, New York, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Stifel, Nicolaus & Company Incorporated, Alan Cohen was associated with UBS Financial Services Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Investment Losses? Let’s talk.

or, give us a ring at (800) 732-2889.

Alan Cohen Customer Complaints

Alan Cohen has been the subject of 4 customer complaints that we know about seeking to recover investment losses. One customer complaint proceeded to arbitration and resulted in the award against Alan Cohen and his employer in favor of the investor. Another customer complaint was settled by the advisor’s employer in favor of the investor. One customer complaint was denied by Citigroup Global Markets, the investor took no further action. There is currently one customer complaint that was recently made to UBS Financial Services that is still pending review and resolution.

Allegations Against Alan Cohen

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

• Unauthorized activity in client’s account.
• Failure to disclose fees.
• Misrepresentation.
• Unsuitable recommendation of an aggressive risk strategy in IRA account.
• Suitability, misrepresentation, unauthorized trading, and failure to supervise.

Alan Cohen Red Flags & Your Rights As An Investor

Of course, Alan 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 Alan Cohen at Stifel, Nicolaus & Company Incorporated and UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Alan 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 and UBS Financial Services Inc. also raises questions about the brokerage firms’ 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 Alan Cohen

If you have questions about Stifel, Nicolaus & Company Incorporated, UBS Financial Services Inc., and/or Alan 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.

Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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