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William Herf Of RBC Capital Markets And Formerly With Stifel Nicolaus & Company And B.C. Ziegler Has 3 Customer Complaints For Alleged Broker Misconduct

Who is William Herf of RBC Capital Markets?

William Herf (CRD #2978220) who is currently registered with RBC Capital Markets and located in Scottsdale, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Prior to RBC Capital Markets, William Herf was associated with Stifel Nicolaus & Company, B.C. Ziegler and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

William Herf Customer Complaints

William Herf has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of William Herf’s 3 customer complaints was settled in favor of investors. Two of William Herf’s customers’ complaints were denied and, to date, the customers have not taken any further action.

Allegations Against William Herf

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 an investment recommended/sold to them by William Herf was unsuitable and outside their risk tolerance.
  • Customer alleged that William Herf invested in high risk funds, which resulted in losses.
  • The client alleged that William Herf failed to follow her instructions to liquidate her account in March 2020.

William Herf Red Flags & Your Rights As An Investor

Of course, William Herf 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 William Herf at RBC Capital Markets, Stifel Nicolaus & Company, and B.C. Ziegler on alert to review carefully the activity and performance of their accounts and question whether William Herf has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets, Stifel Nicolaus & Company, and B.C. Ziegler 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 RBC Capital Markets Due To William Herf

If you have questions about RBC Capital Markets, Stifel Nicolaus & Company, B.C. Ziegler, and/or William Herf 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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