DID ELLEN FERRIS HARLESS CAUSE YOU INVESTMENT LOSSES?
About Ellen Harless of formerly with Stifel, Nicolaus & Company, Incorporated?
Ellen Harless (CRD #1200727) has an extensive career in the securities industry. She was most recently registered with Stifel, Nicolaus & Company, Incorporated from January 2021 to May 2024. Prior to that, she spent nearly 20 years at Merrill Lynch, Pierce, Fenner & Smith Incorporated and had earlier stints at Raymond James Financial Services and American Express Financial Advisors. Over her career, Harless has passed two general industry/product exams and two multi-state securities law exams. She has worked across multiple firms but is not currently registered with any firm.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Ellen Harless Customer Complaints and Reviews
Ellen Harless has one pending customer dispute on record:
- Customer Dispute Received: August 6, 2024
- Complaint: The claimant alleges breach of fiduciary duty, civil conspiracy, negligence, and unjust enrichment.
- Alleged Damages: $750,000
- Status: The case is currently pending in FINRA arbitration, filed on August 2, 2024, under case no. 24-01678.
Allegations Against Ellen Harless
- The allegations in the pending dispute against Ellen Harless include breach of fiduciary duty, civil conspiracy, negligence, and unjust enrichment. These accusations relate to actions taken while she was employed at Stifel, Nicolaus & Company, but no specific product is involved. The claim is currently in FINRA arbitration as of August 2024, pending resolution.
Ellen Harless Red Flags & Your Rights As An Investor
Of course, Ellen Harless 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 Ellen Harless at Stifel, Nicolaus & Company, Incorporated on alert to review carefully the activity and performance of their accounts and question whether Ellen Harless 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 Ellen Harless
If you have questions about Stifel, Nicolaus & Company, Incorporated and/or Ellen Harless 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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