Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 19, 2018 indicate that Massachusetts-based Stifel Nicolaus & Company broker/adviser Jon Laurell has been involved in a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Laurell (CRD# 1100594).
Jon Laurell has spent 35 years in the securities industry and has been registered with Stifel Nicolaus & Company in East Harwich, Massachusetts since 2008. Previous registrations include Wachovia Securities in East Harwich, Massachusetts (2008); AG Edwards & Sons in East Harwich, Massachusetts (1990-2008); AF Best Securities in Coral Springs, Florida (1990); and Dougherty Dawkins Strand & Yost in Minneapolis, Minnesota (1983-1990). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on February 10, 2009; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 16, 1983; Series 7 (General Securities Representative Examination), which he obtained on July 10, 1990; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on March 28, 1984; Series 52 (Municipal Securities Representative Examination), which he obtained on March 11, 1983; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on February 7, 1996. He is a registered broker and investment adviser with 20 US states and territories: California, Connecticut, the District of Columbia, Florida, Kentucky, Maine, Maryland, Massachusetts, Michigan, New Hampshire, New Jersey, New York, North Carolina, Rhode Island, South Carolina, Texas, Vermont, Virginia, and Washington.
According to his BrokerCheck report, he has received one customer complaint, one denied customer complaint, and two closed customer complaints.
In 2015 a customer alleged Jon Laurell, while employed at Stifel Nicolaus & Company, recommended unsuitable Puerto Rico bond investments. The customer sought $137,000 in damages in the complaint, which was denied.
In 2014 a customer alleged Jon Laurell, while employed at Stifel Nicolaus & Company, churned investments and made unauthorized sales of closed-end funds. The complaint settled for $125,000.
In 2002 a customer alleged Jon Laurell, while employed at AG Edwards & Sons, recommended an unsuitable product. The customer sought $60,000 in damages in the complaint, which was closed with no action taken.
In 2001 a customer alleged he, while employed at AG Edwards & Sons, recommended unsuitable unit investment trust products. The customer unspecified damages in the complaint, which was closed with no action taken.
If you or someone you know has lost money investing with Jon Laurell, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.