Erez Law is currently investigating St. Louis Financial Planners Inc. broker Thomas Kieffer (CRD# 269086) regarding investment losses due to managed individual stock portfolios. He has been registered with Ceros Financial Services, Inc. in Chesterfield, Missouri, since 2010 and with St. Louis Financial Planners Inc. in Chesterfield, Maryland, since 1997.
Thomas Keiffer Customer Complaints
He has been the subject of three customer complaints between 2017 and 2020, according to his CRD report:
July 2020. “Customer filed a deficiency notice 7/2/2020 claiming breach of duties by Thomas Kieffer.” The customer sought $135,000 in damages, and the case was settled for $132,025. The complaint was regarding a managed individual stock portfolio, and it took place while he was registered with St. Louis Financial Planners Inc.
June 2020. “Customer filed a deficiency notice 4/29/2020 claiming breach of duties and negligent actions by Thomas Kieffer.” The customer sought $1 million in damages, and the case was settled for $485,000. The complaint was regarding a managed individual stock portfolio, and it took place while he was registered with St. Louis Financial Planners Inc.
May 2017. “Customer filed a deficiency notice claiming breach of duty and unsuitable investments by Thomas Kieffer.” The customer sought $89,000 in damages, and the case was settled for $45,000. The complaint was regarding a managed individual stock portfolio, and it took place while Kieffer was registered with St. Louis Financial Planners Inc
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, St. Louis Financial Planners Inc. may be liable for investment or other losses suffered by Thomas Kieffer’s 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
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