DID HERBERT CHARLES BUCHBINDER CAUSE YOU INVESTMENT LOSSES?

Herbert Buchbinder Of Stifel, Nicolaus & Company, Incorporated Has 5 Customer Complaints For Alleged Broker Misconduct

Who is Herbert Buchbinder of Stifel, Nicolaus & Company, Incorporated?

Herbert Buchbinder (CRD #34261) who is currently registered as a broker and investment adviser with Stifel, Nicolaus & Company, Incorporated and located in Kansas City, Missouri, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Stifel, Nicolaus & Company, Incorporated, Herbert Buchbinder was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Investment Losses? Let’s talk.

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Herbert Buchbinder Customer Complaints

Herbert Buchbinder has been the subject of 5 customer complaints that we know about seeking to recover investment losses. Three of the customer complaints were settled by Herbert Buchbinder’s former employers in favor of the investors. Another customer complaint was denied by Kappel Co. v. a Securities and the investor took no further action. The last customer complaint evolved into a FINRA arbitration proceeding that was recently filed and is still pending.

Allegations Against Herbert Buchbinder

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

• Breach of contract, negligence, and breach of fiduciary duty related to common and preferred stock investments.
• Excessive and unsuitable transactions in client’s account.
• Unauthorized trading.
• Failure to follow client’s instructions.
• Misrepresentations and misleading statements related to advisor.

Herbert Buchbinder Red Flags & Your Rights As An Investor

Of course, Herbert Buchbinder 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 Herbert Buchbinder at Stifel, Nicolaus & Company, Incorporated on alert to review carefully the activity and performance of their accounts and question whether Herbert Buchbinder 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 Herbert Buchbinder

If you have questions about Stifel, Nicolaus & Company, Incorporated and/or Herbert Buchbinder 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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