Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 13, 2017 indicate that Colorado-based Stifel Nicolaus broker/adviser Martin Stevens has received pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Stevens (CRD# 1804469).
Martin Stevens has spent 29 years in the securities industry and has been registered with Stifel Nicolaus & Company in Denver, Colorado since 1994. Previous registrations include Everen Securities in St. Louis, Missouri; Neidiger Tucker Bruner in Englewood, Colorado; HT Fletcher Securities; Dean Johnson & Burke Securities; Anderson Bryant & Company; Tri-Bradley Investments; Kober Financial; and Power Securities Corporation. He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]). He is a registered broker and investment adviser with 34 US states and territories.
According to his BrokerCheck report, he has received two pending customer complaints
In August 2017 a customer alleged Martin Stevens, while employed at Stifel Nicolaus & Company, recommended an unsuitable investment. The customer is seeking $34,719 in damages in the pending complaint.
In August 2017 a customer alleged Martin Stevens, while employed at Stifel Nicolaus & Company, breached his fiduciary duty, acted negligently, made unsuitable investment recommendations, violated Arizona’s Securities Fraud Statute, misrepresented material facts and breached contract. The customer is seeking $249,000 in damages in the pending complaint.
If you have complaints regarding Martin Stevens, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. All cases are taken on contingency: we only receive payment if and when you recover money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.