Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that Illinois and Wisconsin-based Stifel Nicolaus & Company broker/adviser Brian Maddox has been the subject of a customer complaint and a denied customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Maddox (CRD# 1062052).
Brian Maddox has spent 33 years in the securities industry and has been registered with Stifel Nicolaus & Company in Chicago, Illinois and Brookfield, Wisconsin since December 2015. Previous registrations include Barclays Capital in Chicago, Illinois (2011-2015); Morgan Stanley Smith Barney in Chicago, Illinois (2009-2011); Citigroup Global Markets in Chicago, Illinois (1986-2009); and Merrill Lynch (1982-1986). He is a registered broker and investment adviser with 31 US states and territories: Arizona, Arkansas, California, Colorado, Connecticut, Florida, Georgia, Idaho, Illinois, Indiana, Iowa, Kansas, Massachusetts, Michigan, Minnesota, Missouri, Nebraska, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Pennsylvania, South Dakota, Tennessee, Texas, Virginia, Washington, and Wisconsin.
According to his BrokerCheck report, Brian Maddox has received one customer complaint and one customer complaint that was denied.
In 2009, a customer alleged Brian Maddox, while employed at Morgan Stanley Smith Barney, failed to follow instructions with respect to an equity investment from March 2007 through September 2007. The complaint settled in 2010 for more than $4,400.
In 1998, a customer alleged Brian Maddox, while employed at Smith Barney, recommended a corporate bond purchase solely to generate commissions. The customer sought $10,000 in damages in the complaint, which was denied.
If you have suffered losses while investing with Brian Maddox, you may be entitled to a recovery. Call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on contingency: we only get paid if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.