Investors potentially experienced sales practice violations by securities broker James Charles Killeen [CRD: 2666093, Pasadena, California], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. James Killeen worked for Stifel Nicolaus Company Incorporated from July 6, 2009, to February 23, 2024. Read on to discover more about the disclosures involving this securities broker.
Specifically, on January 14, 2026, a Stifel Nicolaus Company Incorporated client filed FINRA Arbitration: 26-00112 about James Killeen. Primarily, the client alleged that Killeen breached his fiduciary duty, was negligent, breached a contract, and violated federal securities laws including Sections 10(b) and 20(a) and Rule 10B-5, as well as California securities laws. For this reason, the investor allegedly sustained damages associated with government bonds and asset-backed bonds. Therefore, the client requested $500,000 in compensation from Stifel Nicolaus Company Incorporated or Killeen. BrokerCheck shows that this arbitration is pending a resolution.
Additionally, a client of Stifel Nicolaus Company Incorporated disputed Killeen’s sales practices, according to a complaint dated April 15, 2020. Allegedly, Killeen made omissions. It appears that Killeen allegedly caused the client to suffer damages connected to mutual funds. Consequently, the client sought compensation from Stifel Nicolaus Company Incorporated or Killeen in this matter. However, the firm denied this complaint.
Do you have concerns or questions regarding investments you made with James Killeen? You should contact Soreide Law Group at (888) 760-6552 or online and consult with a securities attorney about a possible recovery of your investment losses. Soreide Law Group has recovered losses for many clients throughout the United States. Also, our securities lawyers work on a contingency fee basis and advance all costs. Killeen and brokerage firms Killeen worked for deny any accusations of sales practice violations.
Artificial intelligence stocks have attracted tremendous investor interest, but many emerging AI companies also carry significant risk. If your financial advisor recommended shares of Blaize Holdings, Inc. (NASDAQ: BZAI) without fully explaining those risks, you may have options to recover your investment losses through FINRA arbitration. Blaize Holdings develops edge AI computing technology for commercial […]
Federal regulators have settled fraud charges against Phoenix American Hospitality, a Dallas-based manager of hotel investment funds, and its president, William Lee "Perch" Nelson. According to the Securities and Exchange Commission (SEC), the company raised approximately $86 million from more than 2,000 retail investors. They allegedly made false statements about the funds' hotel holdings and […]
JOHN LAWRENCE ALEX (JOHN L ALEX) has been registered both as a broker and financial advisor with MORGAN STANLEY of Morristown, New Jersey, since11/15/2011. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JOHN L ALEX has 36 years of experience in the securities industry and has been registered with 4 firms. Alex […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com