Investors have come forward with complaints about securities broker Stephen Paul Courtney [CRD#: 1141394, Pasadena, California]. Evidently, the securities broker, who worked for Stifel Nicolaus Co., discloses investor disputes on FINRA BrokerCheck. Notably, one or more clients allege omissions, misrepresentations, unsuitable transactions, and negligence. For more on these disclosures about Courtney, see below. However, please note that the securities broker denies the allegations.
Stifel Nicolaus Co. Client Accuses Stephen Courtney Of Misrepresentations
Evidently, on January 24, 2019, a Stifel Nicolaus Co. client filed FINRA Arbitration #: 19-00279 about Stephen Courtney. Specifically, the client alleged omissions, misrepresentations, unsuitable transactions, and negligence. Because of this, the client allegedly sustained damages relating to purchases or sales of stocks. Therefore, on February 7, 2020, Stifel Nicolaus Co. settled this matter by paying the client $70,000. Still, the broker denies the allegations against him.
Courtney Allegedly Makes Unsuitable Recommendations To Salomon Smith Barney Client
Specifically, on August 10, 1998, a Salomon Smith Barney client filed a complaint about Stephen Courtney. Specifically, the client alleged unsuitable recommendations. Because of this, the client allegedly sustained damages relating to purchases or sales of corporate bonds and stock. Therefore, the client requested $24,000 in compensation from Salomon Smith Barney or Courtney. Evidently, this firm denied the dispute on September 16, 1998.
Damages Resulting From Stifel Nicolaus Co. Securities Broker Stephen Courtney?
Have you experienced damages by investing with Stephen Courtney? If so, contact Soreide Law Group at (888) 760-6552 and speak with a securities lawyer about a possible recovery of your investment losses. Soreide Law Group, who has successfully recovered money for hundreds of investors in all 50 states, represents clients on a contingency fee basis and advances all costs. Please keep in mind that Courtney and the brokerage firms Courtney has associated with deny any and all allegations of sales practice violations.
