Public records published by the Financial Industry Regulatory Authority (FINRA) on February 27, 2017 indicate that California-based Stifel Nicolaus broker/adviser George Williams has been named in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Williams (CRD# 2070576).
George Williams has spent 26 years in the securities industry and has been registered with Stifel Nicolaus & Company in Pasadena, California since 2011. Previous registrations include Stone & Youngberg in Los Angeles, California; Bear Stearns & Company in New York, New York; ML Stern & Company in Beverly Hills, California; and Lehman Brothers in New York, New York. He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); and Series 3 (National Commodity Futures Examination). He is a registered broker and investment adviser with thirteen US states and territories: Arizona, California, Colorado, Florida, Hawaii, Illinois, Massachusetts, Nebraska, Nevada, New York, Oklahoma, Texas and Virginia.
According to his BrokerCheck report, George Williams has received one pending customer complaint.
In January 2017 a customer alleged George Williams, while employed at Stifel Nicolaus & Company, breached his fiduciary duty, breached written and oral contract, committed fraud, misrepresented material facts, omitted material facts, committed “financial abuse,” violated state and federal securities laws, and violated FINRA rules of fair practice and New York Stock Exchange rules. The customer is seeking $468,000 in damages in the pending complaint.
If you or someone you know has complaints regarding George Williams, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on contingency: we only receive payment 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.