There are options for customers of Stifel, Nicolaus & Company, Incorporated broker William Humber (CRD# 5764524) who suffered municipal debt losses. He has been registered with Stifel, Nicolaus & Company, Incorporated in Tuscaloosa, Alabama since 2015.
William Humber Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
June 2022. “Claimant alleges breach of fiduciary duty, unsuitability, breach of contract, violation of the Alabama Securities Act, violation of FINRA rules and fraud.” The case is currently pending. The complaint was regarding municipal debt.
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 William Humber’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 against brokerage firms, banks and insurance companies on a contingency fee basis.