Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 24, 2018 indicate that California-based Stifel Nicolaus & Company broker/adviser Ghazaleh Ebrahimi has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Ebrahimi (CRD# 2873246).
Ghazaleh Ebrahimi has spent nineteen years in the securities industry and has been registered with Stifel Nicolaus & Company in San Francisco, California since 2011. Previous registrations include Stone & Youngberg in San Francisco, California (2002-2011); Banc of America investment Services in Boston, Massachusetts (2000-2002); Citicorp Investment Services in Long Island City, New York (2000); Cal Fed Investments in Sacramento, California (1998-1999); and Glenfed Brokerage Services in Glendale, California (1998). She has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on June 21, 2002; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on March 6, 1998; Series 7 (General Securities Representative Examination), which she obtained on November 7, 2000; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which she obtained on January 7, 1998. She is a registered broker and investment adviser with eight US states and territories: California, Colorado, Hawaii, Iowa, Nebraska, Ohio, Oregon, and Washington. She is registered with six self-regulatory organizations (SROs): Cboe BZX Exchange, FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Exchange, and the New York Stock Market.
According to her BrokerCheck report, she has received two customer complaints and one pending customer complaint.
In June 2018 a customer alleged Ghazaleh Ebrahimi, while employed at Stifel Nicolaus & Company, breached her fiduciary duty, acted negligently, breached contract, committed fraud and deceit, and violated FINRA Rules 2310, 2210, 2110, 2120, and 3010. The customer is seeking $475,000 in damages in the pending complaint.
In 2010 a customer alleged Ghazaleh Ebrahimi, while employed at Stone & Youngberg, recommended unsuitable reverse convertible bonds that lost value. The complaint settled in 2011 for $40,000.
In 2009 a customer alleged Ghazaleh Ebrahimi, while employed at Stone & Youngberg, recommended unsuitable reverse convertible notes. The complaint, from which Ms. Ebrahimi was dismissed, settled in 2009 for $100,000.
If you or someone you know has complaints regarding Ghazaleh Ebrahimi, call the experienced attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on contingency: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.