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Brett Faulk Of Stifel, Nicolaus & Company, Incorporated Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Brett Faulk of Stifel, Nicolaus & Company, Incorporated?

Brett Faulk (CRD #2130056) who is currently registered with Stifel, Nicolaus & Company, Incorporated and located in O’Fallon, Illinois is a subject of one of our many securities industry sales practice abuse investigations.

Brett Faulk Customer Complaints

Brett Faulk 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. One of Brett Faulk’s customer complaints was denied and, to date, the customer has not taken any further action. One of Brett Faulk’s customer complaints resulted in Awards in favor of investor.

Allegations Against Brett Faulk

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

  • Account related negligence, unauthorized trading, failure to execute and failure to supervise.
  • Financial advisor purchased high risk investments, which were unsuitable for customer.

Brett Faulk Red Flags & Your Rights As An Investor

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

If you have questions about Stifel, Nicolaus & Company, Incorporated and/or Brett Faulk 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.

Author Photo

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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