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Richard Feldman Formerly With Stifel, Nicolaus & Company, Incorporated Has 5 Customer Complaints For Alleged Broker Misconduct

Who is Richard Feldman formerly with Stifel, Nicolaus & Company, Incorporated?

Richard Feldman

Richard Feldman (CRD #205941) who was formerly registered with Stifel, Nicolaus & Company, Incorporated and located in New York, New York, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Stifel, Nicolaus & Company, Incorporated, Richard Feldman was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Richard Feldman Customer Complaints

Richard Feldman has been the subject of 5 customer complaints that we know about to recover investment losses. Three of the customer complaints were settled by Richard Feldman’s former employers in favor of the investors. Barclays Capital denied the other two customer complaints and no further action was taken.

Allegations Against Richard Feldman

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

  • Unsuitability, unauthorized trading, misrepresentation, overconcentration, excessive trading in master limited partnerships and closed-end funds.
  • Failure to follow customer instructions and unauthorized trading.
  • Excessive trading, misrepresentation, and violation of Federal securities laws.
  • Failure to disclose risks related to margin account.
  • Failure to diversify customer account.

Richard Feldman Red Flags & Your Rights As An Investor

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

If you have questions about Stifel, Nicolaus & Company, Incorporated and/or Richard Feldman 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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