Investigation of Stifel, Nicolaus & Company, Incorporated Broker William Mason
Posted on Wednesday, August 5th, 2020 at 9:06 pm
There are options for clients of Stifel, Nicolaus & Company, Incorporated broker William Mason (CRD# 1863783) who suffered investment losses. Mason has been registered with Stifel, Nicolaus & Company, Incorporated in New Orleans, Louisiana since 2015.
Mason has been the subject of one customer complaint, according to his CRD report:
May 2020. “Claimants allege that registered representative advised them to purchase unsuitable investments.” The case is currently pending. The complaint took place while Mason was registered with Stifel, Nicolaus & Company, Incorporated and was regarding common and preferred stocks and mutual funds.
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 Mason’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.