Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 6, 2017 indicate that New York-based Stifel Nicolaus & Company broker/adviser Steven Gottesman has been the subject of resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Gottesman (CRD# 1500177).
Steven Gottesman has spent 28 years in the securities industry and has been registered with Stifel Nicolaus & Company in Garden City, New York since 2007. Previous registrations include Ryan Beck & Company in Hewlett, New York; Gruntal & Company in New York, New York; Investors Associates in Hackensack, New Jersey; Lehman Brothers in New York, New York; and Prudential-Bache Securities in New York, New York. He is a registered broker and investment adviser with sixteen US states and territories.
According to his BrokerCheck report, he has received five customer complaints and one pending customer complaint.
In December 2016, a customer alleged Steven Gottesman, while Stifel Nicolaus & Company, churned investments and made unauthorized transactions. The customer is seeking unspecified damages in the pending complaint.
In 2014 a customer alleged Steven Gottesman, while employed at Stifel Nicolaus & Company, made unsuitable recommendations, executed excessive trades, misrepresented and omitted material facts, breached his fiduciary duty, and acted negligently. The complaint settled for $30,000.
In 1993 a customer alleged Steven Gottesman, while employed at Shearson Lehman Brothers, executed unauthorized trades and mishandled accounts. The complaint settled for $46,000.
In 1992 a customer alleged he, while employed at Shearson Lehman Brothers, committed fraud, acted negligently, and failed to disclose material facts. The complaint settled for $15,983.
If you or someone you know has lost money investing with Steven Gottesman, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect 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.