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Hayes Clark, IV Formerly With Stifel, Nicolaus & Company, Incorporated Has 3 Customer Complaints For Alleged Broker Misconduct

Who is Hayes Clark, IV formerly with Stifel, Nicolaus & Company, Incorporated?

Hayes Clark, IV (CRD #1197605) who is formerly registered with Stifel, Nicolaus & Company, Incorporated and located in Lebanon, Pennsylvania, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Stifel, Nicolaus & Company, Incorporated, Hayes Clark, IV was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Hayes Clark, IV Customer Complaints

Hayes Clark, IV has been the subject of 3 customer complaints that we know about to recover investment losses. One customer complaint was settled in favor of the investor. The other 2 customer complaints were denied, and today, the customers have not taken any further action.

Allegations Against Hayes Clark, IV

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

  • Forgery of his signature.
  • Failure to follow customer’s instructions to invest safely.
  • Excessive trading without customer’s knowledge and consent.

Hayes Clark, IV Red Flags & Your Rights As An Investor

Of course, Hayes Clark, IV 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 Hayes Clark, IV at Stifel, Nicolaus & Company, Incorporated on alert to review carefully the activity and performance of their accounts and question whether Hayes Clark, IV 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.

File A Claim To Recover Your Investment Losses At Stifel, Nicolaus & Company, Incorporated Due To Hayes Clark, IV

If you have questions about Stifel, Nicolaus & Company, Incorporated and/or Hayes Clark, IV 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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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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