Articles Tagged with failure to follow instructions

Brian MaddoxPublicly 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. Continue Reading

Contact Information