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William Parse Formerly With Stifel, Nicolaus & Company, Incorporated Has 4 Customer Complaints For Alleged Broker Misconduct

Who is William Parse formerly with Stifel, Nicolaus & Company, Incorporated?

William Parse

William Parse (CRD #707795) who was formerly registered with Stifel, Nicolaus & Company, Incorporated and located in Portage, Michigan, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Stifel, Nicolaus & Company, Incorporated, William Parse was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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William Parse Customer Complaints

William Parse has been the subject of 4 customer complaints that we know about to recover investment losses. Three of the customer complaints were settled by William Parse’s former employers in favor of the investors. One recently filed FINRA arbitration proceeding against Stifel Nicholas & Company for William Parse’s alleged misconduct is still pending.

Allegations Against William Parse

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

  • Violation of Michigan Uniform Securities Act, negligence, breach of fiduciary duty.
  • Misleading statements as to rating and risk of a municipal bond investment.
  • Failure to timely switch from C shares to A shares of mutual fund.
  • Unsuitable investment recommendations.

William Parse Red Flags & Your Rights As An Investor

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

If you have questions about Stifel, Nicolaus & Company, Incorporated and/or William Parse 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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