Investors might have sustained losses due to securities broker John Eric Suess [CRD: 1950146, Santa Rosa Beach, Florida], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Suess has worked for Stifel Nicolaus since January 23, 2014, where he is registered as both a broker and investment adviser. Readers should continue reviewing this article to find out more about client disputes involving Suess.
Specifically, on August 19, 2025, a Stifel Nicolaus client filed FINRA Arbitration No. 25-01723 about John Suess. Mainly, the client alleged that Suess made misrepresentations, breached his fiduciary duty, was negligent, and violated state securities laws. Because of this, the client allegedly experienced damages linked to municipal bonds and mutual funds. Therefore, the client requested $200,000 in compensation from Stifel Nicolaus or Suess. It appears that this arbitration is pending a resolution.
Evidently, a client of Wells Fargo Advisors LLC contested John Suess’s sales practices, according to a complaint dated September 12, 2013. Allegedly, Suess charged excessive commissions and made misrepresentations. It appears that Suess allegedly caused the client to experience damages associated with options. As a result, the client sought compensation from Wells Fargo Advisors LLC or Suess in an amount believed to be $5,000 or more in this matter. However, the firm denied this complaint.
Also, on November 8, 2007, an A.G. Edwards Sons Inc. client filed a complaint about John Suess. Primarily, the client alleged that Suess made unsuitable recommendations. For this reason, the client allegedly incurred damages relating to stocks. Consequently, the client requested $550,000 in compensation from A.G. Edwards Sons Inc. or Suess. However, this complaint closed without a resolution.
Do you have concerns or questions regarding investments you made with John Suess? You can get in touch with Soreide Law Group online or at (888) 760-6552 and consult with a securities attorney about a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the US. Also, the firm works on a contingency fee basis and advances all costs. Suess and brokerage firms Suess worked for deny allegations of sales practice violations.
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
Every settled customer dispute on Peter Maller's BrokerCheck report names Lincoln Financial as the firm. Maller holds CRD number 2322403. The newest dispute, filed on March 5, 2024, settled on August 15, 2024 for $12,500 against alleged damages of $50,000. The claimants alleged that the representative represented an oil and gas investment as safe.
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