Erez Law Investigates Stifel, Nicolaus & Company, Incorporated Broker Randall Minas
Posted on Wednesday, January 6th, 2021 at 12:46 am
Did you lose money investing with Stifel, Nicolaus & Company, Incorporated broker Randall Minas (CRD# 821449)? Minas has been registered with Stifel, Nicolaus & Company, Incorporated in Crown Point, Indiana since 2017.
Minas has been the subject of six customer complaints between 2003 and 2020, according to his CRD report. The most recent complaint is regarding:
September 2020. “Violation of the Act against all Defendants, Section 11-51-604(3) (violation of the antifraud provisions of the Act, Section 11-51-501(5)) and Breach of Fiduciary Duty.” The customer is seeking $500,000 in damages and the case is currently pending. The complaint was regarding 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 Minas’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.