Were you the victim of Easterly ROCMuni High Income Fund losses due to recommendations by Stifel, Nicolaus & Company, Incorporated broker Eric Seuss (CRD# 1950146)? He has been registered with Stifel, Nicolaus & Company, Incorporated in Edwardsville, Illinois, since 2014.
He is accused of customer investment losses in the Easterly ROCMuni High Income Fund (RMJAX, RMHIX, and RMVHX), an illiquid, speculative tax-free bond fund.
Eric Seuss Customer Complaints
He has been the subject of three customer complaints between 2007 and 2025, one of which was denied and one was closed without action, according to his CRD report:
August 2025. “Breach of contract and warranties, promissory estoppel, consumer protection and deceptive trade practices act, violation of state securities statutes, common law fraud, breach of fiduciary duty, negligence and gross negligence, FINRA conduct rule 2010, FINRA conduct rule 2020, FINRA conduct rule 2090, FINRA conduct rule 2111, FINRA conduct rule 2210, FINRA conduct rule 3110, misrepresentation/ommission and negligent misrepresentation/omission, unjust enrichment, common law, statutory claims and damages, and vicarious & control person liability.” The customer is seeking $200,000 in damages, and the case is currently pending. The complaint was regarding municipal debt and mutual fund losses.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Stifel, Nicolaus & Company, Incorporated may be liable for investment or other losses suffered by Eric Seuss’ customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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