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DID SUSAN L. STEPHENS CAUSE YOU INVESTMENT LOSSES?

Susan Stephens Of Oppenheimer & Co. Has 4 Customer Complaints For Alleged Broker Misconduct

Who is Susan Stephens of Oppenheimer & Co.?

Susan Stephens (CRD #2400351) who is currently registered with Oppenheimer & Co. and located in Fort Lauderdale, Florida is a subject of one of our many securities industry sales practice abuse investigations.

Susan Stephens Customer Complaints

Susan Stephens has been the subject of 4 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Two of Susan Stephens’ 4 customer complaints were settled in favor of investors. Two of Susan Stephens’ customers’ complaints were denied and, to date, the customers have not taken any further action.

Allegations Against Susan Stephens

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

  • Client alleged she was misled by Susan Stephens representation that she would liquidate securities if they “were not doing well.”
  • Client’s daughter (co-trustee) alleged that an unsuitable investment was made in the trust account by Susan Stephens.
  • Customer alleged Susan Stephens’ misrepresentation with regards to purchase of Jefferson County Auction Rate Security.
  • Customer alleged Susan Stephens’ misrepresentation with regards to the Schwab Yield Plus Fund.

Susan Stephens Red Flags & Your Rights As An Investor

Of course, Susan Stephens 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 Susan Stephens at Oppenheimer & Co. on alert to review carefully the activity and performance of their accounts and question whether Susan Stephens has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Oppenheimer & Co. also raises questions about the brokerage firms’ 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 Oppenheimer & Co. Due To Susan Stephens

If you have questions about Oppenheimer & Co. and/or Susan Stephens 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.

Author Photo

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 $125 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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