Jun 27, 2022

Andrew Elsoffer formerly with Stifel, Nicolaus & Company, Incorporated

DID ANDREW BRUCE ELSOFFER CAUSE YOU INVESTMENT LOSSES? Andrew Elsoffer Formerly With Stifel, Nicolaus & Company, Incorporated Has 8 Customer Complaints For Alleged Broker Misconduct Who is Andrew Elsoffer formerly with Stifel, Nicolaus & Company, Incorporated? Andrew Elsoffer (CRD #2580009) who was formerly registered with Stifel, Nicolaus & Company, Incorporated and located in Pepper Pike, Ohio is a subject of one of our many securities industry sales practice abuse investigations.   Andrew Elsoffer Customer Complaints Andrew Elsoffer has been the subject of 8 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Six of Andrew Elsoffer’s 8 customer complaints were settled in favor of investors. One of Andrew Elsoffer’s customer complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against Andrew Elsoffer’s former employer Stifel, Nicolaus & Company, Incorporated for investment losses caused by the alleged misconduct. Allegations Against Andrew Elsoffer A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Negligence, unsuitable investment recommendations, unauthorized trading, breach of contract, breach of fiduciary duty, and violation of the Ohio securities laws. Securities fraud, common law fraud, unsuitable investment recommendations, breach of fiduciary duty, and elder abuse and exploitation. Unsuitable investment recommendations in multiple arbitration proceedings. Excessive trading. Unauthorized trading. Common law fraud, negligence, breach of fiduciary duty, and breach of contract in multiple arbitration proceedings. Andrew Elsoffer Red Flags & Your Rights As An Investor Of course, Andrew Elsoffer 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 Andrew Elsoffer at Stifel, Nicolaus & Company, Incorporated on alert to review carefully the activity and performance of their accounts and question whether Andrew Elsoffer 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 firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Stifel, Nicolaus & Company, Incorporated Due To Andrew Elsoffer If you have questions about Stifel, Nicolaus & Company, Incorporated and/or Andrew Elsoffer 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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Jun 13, 2022

Charles Fenner of Wells Fargo Clearing Services, LLC

It is very important for all to know as much as possible about the individuals with whom we trust with our finances. There are a variety of resources where you can discover information about background, including, past employment history, regulatory disciplinary proceedings, and customer complaints. If you are reading this, you may be concerned about Charles Fenner and investment losses you have incurred. We’ll do everything we can to answer any questions you have. DID CHARLES PAYNE FENNER III CAUSE YOU INVESTMENT LOSSES? Charles Fenner Of Wells Fargo Clearing Services, LLC And Formerly With Stifel, Nicolaus & Company, Incorporated Has 2 Customer Complaints For Alleged Broker Misconduct Who is Charles Fenner of Wells Fargo Clearing Services, LLC? Charles Fenner (CRD #206237) who is currently registered with Wells Fargo Clearing Services, LLC and located in Metairie, Louisiana is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Wells Fargo Clearing Services, LLC, Charles Fenner was associated with Stifel, Nicolaus & Company, Incorporated and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Charles Fenner Customer Complaints Charles Fenner has been the subject of 2 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. Both of Charles Fenner’s customer complaints were settled in favor of investors. Allegations Against Charles Fenner A sample of the allegations made in the FINRA reported federal court and arbitration pending complaints for investment losses are as follows: Breach of fiduciary duty, misrepresentation and failures to disclose, negligence and gross negligence, and violations of the Louisiana securities laws related to investments in the oil and gas sector. Unauthorized liquidation of all assets and clients accounts. Charles Fenner Red Flags & Your Rights As An Investor Of course, Charles Fenner 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 Charles Fenner at Wells Fargo Clearing Services, LLC and Stifel, Nicolaus & Company, Incorporated on alert to review carefully the activity and performance of their accounts and question whether Charles Fenner has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services, LLC and Stifel, Nicolaus & Company, Incorporated 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. File A Claim To Recover Your Investment Losses At Wells Fargo Clearing Services, LLC Due To Charles Fenner If you have questions about Wells Fargo Clearing Services, LLC, Stifel, Nicolaus & Company, Incorporated, and/or Charles Fenner 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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Mar 8, 2022

Bernard Spielman of Stifel Nicolaus & Company

DID BERNARD ALLEN SPIELMAN CAUSE YOU INVESTMENT LOSSES? Bernard Spielman Of Stifel Nicolaus & Company Has A Customer Complaint For Alleged Broker Misconduct Who is Bernard Spielman of Stifel Nicolaus & Company? Bernard Spielman (CRD #1503741) who is currently registered with Stifel Nicolaus & Company and located in Sheridan, Wyoming is a subject of one of our many securities industry sales practice abuse investigations. Bernard Spielman Customer Complaint Bernard Spielman has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were that Bernard Spielman did not provide the customer full disclosure regarding a variable annuity purchased by the customer. Bernard Spielman’s customer complaint was denied and, to date, the customer has not taken any further action. Bernard Spielman Red Flags & Your Rights As An Investor Of course, Bernard Spielman 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 Bernard Spielman at Stifel Nicolaus & Company on alert to review carefully the activity and performance of their accounts and question whether Bernard Spielman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stifel Nicolaus & Company 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. File A Claim To Recover Your Investment Losses At Stifel Nicolaus & Company Due To Bernard Spielman If you have questions about Stifel Nicolaus & Company, and/or Bernard Spielman 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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Mar 8, 2022

Robert Mitchell of Stifel, Nicolaus & Company

DID ROBERT LYNN MITCHELL CAUSE YOU INVESTMENT LOSSES? Robert Mitchell Of Stifel, Nicolaus & Company And Formerly With Morgan Stanley Has 4 Customer Complaints For Alleged Broker Misconduct Who is Robert Mitchell of Stifel, Nicolaus & Company? Robert Mitchell (CRD #1523211) who is currently registered with Stifel, Nicolaus & Company and located in Frisco, Texas is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Stifel, Nicolaus & Company, Robert Mitchell was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Robert Mitchell Customer Complaints Robert Mitchell has been the subject of 4 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Robert Mitchell’s 4 customer complaints was settled in favor of investors. Three of Robert Mitchell’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Robert Mitchell A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleged, inter alia, Robert Mitchell solicited outside investment opportunities not authorized by firm. Claimant alleged, inter alia, that Robert Mitchell’s recommendation to liquidate municipal bonds in account and purchase a variable annuity was unsuitable. Client alleged losses in connection with the purchases of four bonds allegedly made by Robert Mitchell and that they were unsuitable. Clients alleged Robert Mitchell’s failure to follow instructions with respect to investment guidelines. Robert Mitchell Red Flags & Your Rights As An Investor Of course, Robert Mitchell 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 Mitchell at Stifel, Nicolaus & Company and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Robert Mitchell has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stifel, Nicolaus & Company and Morgan Stanley 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. File A Claim To Recover Your Investment Losses At Stifel, Nicolaus & Company Due To Robert Mitchell If you have questions about Stifel, Nicolaus & Company, Morgan Stanley, and/or Robert Mitchell 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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Mar 8, 2022

John Nysather formerly with Stifel, Nicolaus & Company

DID JOHN OLAF NYSATHER CAUSE YOU INVESTMENT LOSSES? John Nysather Formerly With Stifel, Nicolaus & Company Has A Customer Complaint For Alleged Broker Misconduct Who is John Nysather formerly with Stifel, Nicolaus & Company? John Nysather (CRD #2036389) who was formerly registered with Stifel, Nicolaus & Company and located in Rockford, Illinois is a subject of one of our many securities industry sales practice abuse investigations. John Nysather Customer Complaint John Nysather has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were that registered representative John Nysather made unsuitable recommendations for the client to withdraw funds from annuities, which resulted in tax consequences and early withdrawal penalties. John Nysather’s customer complaint was denied and, to date, the customer has not taken any further action. John Nysather Red Flags & Your Rights As An Investor Of course, John Nysather 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 John Nysather at Stifel, Nicolaus & Company on alert to review carefully the activity and performance of their accounts and question whether John Nysather has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stifel, Nicolaus & Company 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. File A Claim To Recover Your Investment Losses At Stifel, Nicolaus & Company Due To John Nysather If you have questions about Stifel, Nicolaus & Company and/or John Nysather 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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Mar 8, 2022

William Mason of Stifel Nicolaus & Company

DID WILLIAM GEARY MASON CAUSE YOU INVESTMENT LOSSES? William Mason Of Stifel Nicolaus & Company And Formerly With Sterne Agee & Leach And Sterne Agee Asset Management Has A Customer Complaint For Alleged Broker Misconduct Who is William Mason of Stifel Nicolaus & Company? William Mason (CRD #1863783) who is currently registered with Stifel Nicolaus & Company and located in New Orleans, Louisiana is a subject of one of our many securities industry sales practice abuse investigations. Prior to Stifel Nicolaus & Company, William Mason was associated with Sterne Agee & Leach, Sterne Agee Asset Management and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. William Mason Customer Complaint William Mason has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were claimants alleged that the registered representative advised them to purchase unsuitable investments. The customer complaint filed against William Mason’s current employer Stifel Nicolaus & Company for investment losses caused by the alleged misconduct is pending as of the date of this report. William Mason Red Flags & Your Rights As An Investor Of course, William Mason 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 William Mason at Stifel Nicolaus & Company, Sterne Agee & Leach, and Sterne Agee Asset Management on alert to review carefully the activity and performance of their accounts and question whether William Mason has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stifel Nicolaus & Company, Sterne Agee & Leach, and Sterne Agee Asset Management 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. File A Claim To Recover Your Investment Losses At Stifel Nicolaus & Company Due To William Mason If you have questions about Stifel Nicolaus & Company, Sterne Agee & Leach, Sterne Agee Asset Management, and/or William Mason 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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Mar 8, 2022

Kevin McKenna formerly with Stifel Nicolaus & Company

DID KEVIN PATRICK MCKENNA CAUSE YOU INVESTMENT LOSSES? Kevin McKenna Formerly With Stifel Nicolaus & & Company Has 3 Customer Complaints For Alleged Broker Misconduct Who is Kevin McKenna formerly with Stifel Nicolaus & Company? Kevin McKenna (CRD #1886142) who was formerly registered with Stifel Nicolaus & Company and located in Wausau, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations. Kevin McKenna Customer Complaints Kevin McKenna has been the subject of 3 customer complaints that we know about. Two of Kevin McKenna’s 3 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Stifel Nicolaus & Company for investment losses caused by Kevin McKenna’s alleged misconduct. Allegations Against Kevin McKenna A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleged Kevin McKenna’s fraud, negligence, breach of fiduciary duty, breach of contract and unauthorized trading. Client alleged Kevin McKenna misrepresented a security purchased as being safe, not speculative, and protected by a put option. Client verbally alleged that Kevin McKenna invested in a speculative stock, which declined in value. Kevin McKenna Red Flags & Your Rights As An Investor Of course, Kevin McKenna 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 Kevin McKenna at Stifel Nicolaus & Company on alert to review carefully the activity and performance of their accounts and question whether Kevin McKenna has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stifel Nicolaus & Company 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. File A Claim To Recover Your Investment Losses At Stifel Nicolaus & Company Due To Kevin McKenna If you have questions about Stifel Nicolaus & Company and/or Kevin McKenna 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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Mar 8, 2022

John McLaughlin of Ameriprise Financial Services

DID JOHN FREDERICK MCLAUGHLIN CAUSE YOU INVESTMENT LOSSES? John McLaughlin Of Ameriprise Financial Services And Formerly With Stifel Nicolaus & Company Has 3 Customer Complaints For Alleged Broker Misconduct Who is John McLaughlin of Ameriprise Financial Services? John McLaughlin (CRD #1407726) who is currently registered with Ameriprise Financial Services and located in Olean, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Ameriprise Financial Services, John McLaughlin was associated with Stifel Nicolaus & Company and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. John McLaughlin Customer Complaints John McLaughlin has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Two of John McLaughlin’s 3 customer complaints were settled in favor of investors. One of John McLaughlin’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against John McLaughlin A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged that John McLaughlin’s recommendation to surrender an annuity contract was not suitable. Customers verbally alleged that unsuitable investments were purchased for their account by John McLaughlin. Client alleged that she was advised by John McLaughlin that there would be minimal financial ramifications associated with moving her funds from an annuity into tax-free municipal bonds. Client also questions the suitability of this investment for her 92 year old mother. John McLaughlin Red Flags & Your Rights As An Investor Of course, John McLaughlin 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 John McLaughlin at Ameriprise Financial Services and Stifel Nicolaus & Company on alert to review carefully the activity and performance of their accounts and question whether John McLaughlin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services and Stifel Nicolaus & Company 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. File A Claim To Recover Your Investment Losses At Ameriprise Financial Services Due To John McLaughlin If you have questions about Ameriprise Financial Services, Stifel Nicolaus & Company, and/or John McLaughlin 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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Mar 8, 2022

Scott Madison of Merrill Lynch Pierce Fenner & Smith

DID SCOTT GEOFFREY MADISON CAUSE YOU INVESTMENT LOSSES? Scott Madison Of Merrill Lynch Pierce Fenner & Smith And Formerly With Stifel Nicolaus Company Has 2 Customer Complaints For Alleged Broker Misconduct Who is Scott Madison of Merrill Lynch Pierce Fenner & Smith? Scott Madison (CRD #4323032) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Riverhead, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch Pierce Fenner & Smith, Scott Madison was associated with Stifel Nicolaus Company and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Scott Madison Customer Complaints Scott Madison has been the subject of 2 customer complaints that we know about. Both of Scott Madison’s 2 customer complaints were settled in favor of investors. Allegations Against Scott Madison A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customer alleged that Scott Madison discussed with the customer a particular ARS that would pay 12% tax exempt interest and described ARSs as safe and liquid. Customer further alleged that the customer learned weeks later that the interest rate was in fact a function of LIBOR and not 12%. As previously explained to the customer in a letter from the firm, prior to executing the trade, the customer had confirmed that it had independently, and without reliance on Mr. Madison or the firm, conducted its own analysis and made the decision to invest in the security, thereby bearing the full responsibility for its investment.  Notwithstanding, Credit Suisse Securities (USA) LLC, settled the dispute and paid $800,000 to the investor. Customer alleged Scott Madison engaged in unauthorized trading, made unsuitable investment recommendations and churned his account. Scott Madison Red Flags & Your Rights As An Investor Of course, Scott Madison 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 Scott Madison at Merrill Lynch Pierce Fenner & Smith and Stifel Nicolaus Company on alert to review carefully the activity and performance of their accounts and question whether Scott Madison has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch Pierce Fenner & Smith and Stifel Nicolaus Company 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. File A Claim To Recover Your Investment Losses At Merrill Lynch Pierce Fenner & Smith Due To Scott Madison If you have questions about Merrill Lynch Pierce Fenner & Smith, Stifel Nicolaus Company, and/or Scott Madison 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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Mar 8, 2022

James Lebaron of Stifel Nicolaus & Company

DID JAMES SEAN LEBARON CAUSE YOU INVESTMENT LOSSES? James Lebaron Of Stifel Nicolaus & Company And Formerly With Janney Montgomery Scott Has 2 Customer Complaints For Alleged Broker Misconduct Who is James Lebaron of Stifel Nicolaus & Company? James Lebaron (CRD #2308025) who is currently registered with Stifel Nicolaus & Company and located in Sarasota, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Stifel Nicolaus & Company, James Lebaron was associated with Janney Montgomery Scott and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Lebaron Customer Complaints James Lebaron has been the subject of 2 customer complaints that we know about. One of James Lebaron’s 2 customer complaints was settled in favor of investors. One of James Lebaron’s customer complaints was denied and, to date, the customer has not taken any further action. Allegations Against James Lebaron A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimants alleged that unsuitable investments were made in their accounts by James Lebaron. Customer alleged that an investment made in Reignmaker Communications by James Lebaron was unsuitable. James Lebaron Red Flags & Your Rights As An Investor Of course, James Lebaron 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 Lebaron at Stifel Nicolaus & Company and Janney Montgomery Scott on alert to review carefully the activity and performance of their accounts and question whether James Lebaron has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stifel Nicolaus & Company and Janney Montgomery Scott 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. File A Claim To Recover Your Investment Losses At Stifel Nicolaus & Company Due To James Lebaron If you have questions about Stifel Nicolaus & Company, Janney Montgomery Scott, and/or James Lebaron 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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