Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 25, 2018 indicate that Missouri-based Stifel Nicolaus & Company broker/adviser John Russell has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Russell (CRD# 728702).
John Russell has spent 37 years in the securities industry and has been registered with Stifel Nicolaus & Company in Clayton, Missouri since 1988. Previous registrations include The Leaders Group in Littleton, Colorado (1998-2000); Rowland Simons & Company (1988); IM Simon & Company (1986-1988); Thomson McKinnon Securities (1984-1986); and WZW Financial Services (1981-1984). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 12, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 17, 1981; Series 7 (General Securities Representative Examination), which he obtained on April 11, 1981; Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on November 19, 1980; and Series 24 (General Securities Principal Examination), which he obtained on August 27, 1982. He is a registered broker and investment adviser with 43 US states and territories.
According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, and one denied customer complaint.
In April 2018 a customer alleged John Russell, while employed at Stifel Nicolaus & Company, breached his fiduciary duty, fraudulently misrepresented material facts, negligently misrepresented material facts, and committed civil conspiracy. The customer is seeking $25,000 in damages in the pending complaint.
In 2011 a customer alleged John Russell, while employed at Stifel Nicolaus & Company, purchased a bond outside of agreed-upon parameters. The complaint settled for more than $38,500.
In 2007 a customer alleged John Russell, while employed at Stifel Nicolaus & Company, misrepresented material facts related to an investment. The customer sought more than $14,700 in damages in the complaint, which was denied.
If you or someone you know has a complaint regarding John Russell, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup lost funds. Fitapelli Kurta accepts every case on contingency: we only get paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.