Stifel Nicolaus broker James Goetz, Jr.: Complaints

 The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding New York-based Stifel Nicolaus broker/adviser James Goetz, Jr.
James Goetz, Jr. has spent seventeen years in the securities industry and has been registered with Stifel Nicolaus & Company in Fairport, New York since 2014. He was previously registered with Merrill Lynch Pierce Fenner & Smith in Pittsford, New York. Mr. Goetz is a registered broker and investment adviser in twenty-four US states and territories, including California, Colorado, Illinois, Massachusetts, New York, Texas, and Wisconsin.
According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, James Goetz, Jr. is the subject of investigation and one employment separation after allegations.
In August 2015 James Goetz, Jr., while employed at Stifel Nicolaus & Company, became the subject of an investigation into “potential violations” of National Association of Securities Dealers (NASD) and FINRA rules dealing with private securities transactions. The investigation is pending.
FINRA rule 3040 states that “No person associated with a member shall participate in any manner in a private securities transaction” unless the transaction complies with numerous terms, including written authorization from the member firm. Brokers and investment advisers who violate this rule might found to have engaged in selling away.
If you have lost money investing with James Goetz, Jr., you may be entitled to recover your losses. Call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on contingency: Fitapelli Kurta only gets paid if and when you recover money.  Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.