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.
Soreide Law Group has been contacted by an investor experiencing losses in GWG L Bonds, due to the alleged recommendation of broker/investment advisor, THOMAS CAINE SHULTZ (THOMAS SHULTZ, THOMAS C SHULTZ). Shultz is currently registered both as a broker and investment advisor with REALTA EQUITIES, INC of Phoenix, Arizona since 7/25/2023. He was previously registered with […]
Soreide Law Group is investigating potential investor claims involving TechCreate Group Ltd. (TCGL) stock, particularly whether brokers or financial advisors improperly recommended this security despite emerging warning signs. TCGL is a publicly traded foreign holding company whose shares were subject to an SEC trading suspension, raising serious concerns for investors. There is significant adverse regulatory […]
Investors might have sustained losses due to securities broker Bradley Owen Davidson [CRD: 5142256, Mission Viejo, California], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Davidson has been registered with Emerson Equity LLC since February 2, 2024, and previously worked for firms including Secure Asset Management LLC from February 22, […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com