COLUMBIA, MISSOURI – Have you lost money with financial advisor Matthew Alexander Perry aka Alex Perry?  We are looking into allegations made about Alex Perry from Columbia, Missouri.  FINRA (the Financial Industry Regulatory Authority) barred Perry from the securities industry.  FINRA alleged that Perry has failed to respond to its investigation regarding allegations that he made unsuitable recommendations to customers.  Perry was alleged to have engaged in options trading, and the customers lost money in the options trading.

Matthew Alexander Perry (Alex Perry) was a financial advisor and registered representative of Stifel Nicolaus from June 2016 to March 2019.  He worked in a branch office in Columbia, Missouri.  Perry has also been the subject of three (3)  customer complaints, two of which involved options.

Brokerage firms like Stifel Nicolaus have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers. 

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Ann Arbor, Michigan; and Phoenix, Arizona.  We represent investors in FINRA arbitration proceedings in all 50 states, including throughout Missouri. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Stifel Nicolaus.

View FINRA AWC:  Perry, A. FINRA AWC

View BrokerCheck:  Perry, A.  BrokerCheck 6.28.21

If you lost money with Alex Perry or Stifel Nicolaus, please CONTACT US at 720-599-3505 for a free evaluation of your case.