Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 16, 2018 indicate Florida-based Stifel Nicolaus broker/adviser Scott Sanders has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Sanders (CRD# 3063288).
Scott Sanders has spent 20 years in the securities industry and has been registered with Stifel Nicolaus & Company in Fort Myers, Florida since 2009. Previous registrations include Wachovia Securities in Cape Coral, Florida (2008-2009) and AG Edwards & Sons in Cape Coral, Florida (1998-2008). He has passed five securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on May 12, 2009; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 16, 1998; Series 7 (General Securities Representative Examination), which he obtained on July 10, 1998; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on December 17, 2003; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on October 29, 2003. He is a registered broker and investment adviser with 24 US states and territories: Alabama, Arizona, Arkansas, California, California, Colorado, Florida, Hawaii, Illinois, Indiana, Iowa, Maryland, Massachusetts, Missouri, Nevada, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Texas, Virginia, Washington, and Wisconsin.
According to his BrokerCheck report, he has received one pending customer complaint, one denied customer complaint, and one closed customer complaint.
In July 2018 a customer alleged Scott Sanders, while employed at Stifel Nicolaus & Company, breached his fiduciary duty, acted negligently, failed in his supervisory duties, and breached contract. The customer is seeking $193,281 in damages in the pending complaint.
in May 2018 a customer alleged Scott Sanders, while employed at Stifel Nicolaus & Company, over-concentrated the account in equities and did not provide proper advice regarding risks. The customer sought unspecified damages in the complaint, which was denied.
In 2008 a customer alleged Scott Sanders, while employed at Wachovia Securities, failed to explain the risks associated with a variable annuity investment. The customer sought unspecified damages exceeding $5,000 in the complaint, which was closed with no action taken.
If you or someone you know has a complaint regarding Scott Sanders, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup lost funds. Fitapelli Kurta accepts every case on contingency: we only get paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.