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Lawrence Delhagen, Jr. Formerly With Stifel, Nicolaus & Company, Incorporated Has 6 Customer Complaints For Alleged Broker Misconduct

Who is Lawrence Delhagen, Jr. formerly with Stifel, Nicolaus & Company, Incorporated?

Lawrence Delhagen, Jr.

Lawrence Delhagen, Jr. (CRD #2779312) who was formerly registered with Stifel, Nicolaus & Company, Incorporated and located in Center Valley, Pennsylvania, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Stifel, Nicolaus & Company, Incorporated, Lawrence Delhagen, Jr. was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Lawrence Delhagen, Jr. Customer Complaints

Lawrence Delhagen, Jr. has been the subject of 6 customer complaints that we know about to recover investment losses. Three of the customer complaints were settled by Stifel, Nicholas & Co. in favor of the investors. Lawrence Delhagen’s former employer denied one customer complaint no further action was taken. However, there are 2 pending arbitration proceedings against his former employer for his alleged misconduct.

Allegations Against Lawrence Delhagen, Jr.

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

  • Breach of fiduciary duty, breach of contract, negligent misrepresentation and omissions, common-law fraud seeking restitution.
  • Registered representative made investments outside of the customer’s investment objectives, and the customer asserts causes of action for fraud, breach of fiduciary duty, negligence, and breach of contract.
  • Solicitation of 3 investments which were unsuitable for the customer.
  • Unsuitability, breach of implied covenant of good faith and fair dealing, and breach of fiduciary duty.
  • Unsuitable investments, churning, negligence, fraud, misrepresentation, breach of fiduciary duty, and violations of state and federal securities laws.
  • Unsuitable investment recommendations.

Lawrence Delhagen, Jr. Red Flags & Your Rights As An Investor

Of course, Lawrence Delhagen, Jr. 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 Lawrence Delhagen, Jr. at Stifel, Nicolaus & Company, Incorporated on alert to review carefully the activity and performance of their accounts and question whether Lawrence Delhagen, Jr. 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?

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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 Lawrence Delhagen, Jr.

If you have questions about Stifel, Nicolaus & Company, Incorporated and/or Lawrence Delhagen, Jr. 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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