DID JOHN MARK CASH CAUSE YOU INVESTMENT LOSSES?
John Cash Of Stifel, Nicolaus & Company Incorporated Has 2 Customer Complaints For Alleged Broker Misconduct
About John Cash Of Stifel, Nicolaus & Company Incorporated?
John Cash (CRD #2870741) has a substantial history in the securities industry. Currently, he is registered with Stifel, Nicolaus & Company, Incorporated in Hickory, North Carolina (CRD# 793) since September 21, 2018. His career includes previous registrations with Wells Fargo Clearing Services, LLC in Hickory, North Carolina (CRD# 19616) from June 2002 to September 2018, and shorter stints at First Union Capital Markets Corp. in Charlotte, North Carolina (CRD# 6124) and A. G. Edwards & Sons, Inc. in St. Louis, Missouri (CRD# 4). Over his career, Cash has passed six securities industry exams including two principal/supervisory exams, two general industry/product exams, and two multi-state securities law exams. He is currently registered with six Self-Regulatory Organizations (SROs) and licensed in seven U.S. states and territories.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
John Cash Customer Complaints and Reviews
John M. Cash has two customer disputes reported on his record, both of which have been closed with no action taken against him. The details are as follows:
- Allegation (2012): Clients alleged they were misled regarding an annuity-variable product, with unspecified damages. The firm could not determine that damages would be less than $5,000. The complaint, received on February 10, 2012, was denied on May 23, 2012.
- Allegation (2005): A North Carolina resident wrote that the purchase of First Trust Situations Series 334 and the Liberty-Stein Stock Funds in 1999 and 2000 were unsuitable. The claimed damages were $14,600.00. The complaint was received on August 23, 2005, and was denied on September 16, 2005, as the firm found the purchases suitable and the claim without merit.
Allegations Against John Cash
John M. Cash faced allegations in two customer disputes, which are detailed below:
- 2012 Allegation: The allegation involved potentially misleading information given to clients about an annuity product. The firm reviewed the claim and denied it, stating there was no good faith determination that damages exceeded $5,000. This dispute was formally denied.
- 2005 Allegation: It was alleged that the investments made in 1999 and 2000 were unsuitable for the client’s profile. However, after review, the firm concluded that the investments were appropriate and denied the complaint. The client claimed damages of $14,600, which the firm did not acknowledge as meritorious.
John Cash Red Flags & Your Rights As An Investor
Of course, John Cash 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 Cash at Stifel, Nicolaus & Company Incorporated on alert to review carefully the activity and performance of their accounts and question whether John Cash 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 John Cash
If you have questions about Stifel, Nicolaus & Company Incorporated and/or John Cash 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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