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How to Bring a Claim Against Stifel, Nicolaus & Company, Incorporated Financial Advisor Ghazaleh Ebrahimi

Posted on Saturday, January 5th, 2019 at 9:47 am    

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There are options for customers of Stifel, Nicolaus & Company, Incorporated financial advisor Ghazaleh Ebrahimi (CRD# 2873246) regarding investment losses. Ebrahimi has been registered with Stifel, Nicolaus & Company, Incorporated in San Francisco, California since 2011.

Ebrahimi has been the subject of four customer complaints between 2008 and 2018, according to his CRD report. Recent complaints are regarding:

November 2018. “Claimant alleges violation of standards of reasonable basis suitability (FINRA Rule 2310(b)) just and equitable principles of trade (FINRA Rule 2010; fraud, misleading statements, misleading omissions of material information; breach of fiduciary duty; negligent misrepresentation; negligence; breach of contract and warranty; third party beneficiary breach of contract; breach of the covenant of good faith and fair dealing; elder abuse; and aiding and abetting financial elder abuse.” The customer is seeking $1.3 million in damages and the case is currently pending. This case is regarding direct investments.

June 2018. “Claimants allege breach of fiduciary duty; negligence; breach of contract; common law fraud and deceit; violations of FINRA rules 2310, 2210, 2110 , 2120 and 3010.” The customer is seeking $475,000 in damages and the case is currently pending. This case is regarding equity listed common and preferred stocks.

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 Ebrahimi’s customers.

Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If and 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.