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James Springer Of Stifel, Nicolaus & Company, Incorporated Has 4 Customer Complaints For Alleged Broker Misconduct

Who is James Springer of Stifel, Nicolaus & Company, Incorporated?

James Springer (CRD #2535792) who is currently registered with Stifel, Nicolaus & Company, Incorporated and located in Sarasota, Florida, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Stifel, Nicolaus & Company, Incorporated James Springer was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

James Springer Customer Complaints

James Springer has been the subject of 4 customer complaints that we know about to recover investment losses. Three customer complaints were settled by UBS Financial Services in favor of the investors. The other customer complaint remains pending.

Allegations Against James Springer

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

  • Failure to disclose a hold-back on investment in hedge funds. Unsuitable investment recommendations of speculative in volatile fee-based managed funds.
  • Misrepresentation, unsuitability, overconcentration, and failure to diversify their accounts.
  • Representation that there would be a “market within the firm” available to him in the emergency if he needed cash from the investment.

James Springer Red Flags & Your Rights As An Investor

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

If you have questions about Stifel, Nicolaus & Company, Incorporated and/or James Springer 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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