Erez Law is currently investigating Stifel, Nicolaus & Company, Incorporated financial advisor Gary Adkin (CRD# 3084484) regarding negligence. Adkin has been registered with Stifel, Nicolaus & Company, Incorporated in Palm Beach, Florida since 2015. Previously, Adkin was registered with Barclays Capital Inc. in Palm Beach, Florida from 2008 to 2015.
Adkin has been the subject of one customer complaint, according to his CRD report:
December 2017. “Claimants allege that registered representative was negligent and failed to exercise responsibility with regard to the account.” The customer is seeking $1.55 million in damages and the case is currently pending.
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 Adkin’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.
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