Stifel Nicolaus & Company Archives - Marquardt Law Office

Stifel Nicolaus & Company

Customer Disputes against Former Broker Frederick Mueller Allege Unsuitable Investments and Unauthorized Trades

Adam J. Marquardt July 26, 2018

According to FINRA public records, former broker Frederick August Mueller Jr. has six disclosed customer disputes. FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. Customers filed the disputes against Mueller between July 2012 and February 2018. Two claims have settled for $30,000 and $330,000. One claim was closed with no

Joseph Devlin Coleman Has Fifteen Disclosed Customer Disputes

Adam J. Marquardt June 9, 2018

According to the Financial Industry Regulatory Authority, Inc.’s (FINRA) public records, investment advisor and former broker Joseph Devlin Coleman has fifteen disclosed customer disputes. FINRA registers and regulates brokers and brokerage firms. Joseph Coleman’s customers filed the claims between February 2001 and January 2018. Ten of the claims settled in amounts ranging from $15,000 to

Investment Misconduct Blog