Israels & Neuman, PLC Investigates Kenneth Christman of Stifel Nicolaus
Have you lost money with financial advisor Kenneth J. Christman, Jr. (CRD# 4306483), with Stifel Nicolaus in Poughkeepsie, New York? We are investigating allegations of former customers related to Kenneth Christman. Kenneth Christman and his brokerage firm, Stifel Nicolaus, were the subject of a complaint filed in FINRA arbitration.
According to FINRA’s BrokerCheck, three customers have complained about Christman. Two of the customers complained about the sale of junk bonds, and one of the complaints also mentions investments in aggressive energy stocks.
Kenneth Christman is a registered representative of Stifel Nicolaus from July 2011 to the present. He has worked at a branch office in Poughkeepsie, New York.
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 Washington, Colorado, the Portland, Oregon area, and Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in New York. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including Stifel Nicolaus.
Click to view: Christman, Kenneth BrokerCheck 3.14.18