Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 15, 2018 indicate that Pennsylvania-based Stifel Nicolaus & Company broker/adviser John Lisowski has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Lisowski (CRD# 1011572).
John Lisowski has spent 36 years in the securities industry and has been registered with Stifel Nicolaus & Company in Pittsburgh, Pennsylvania since 2007. Previous registrations include Ryan Beck & Company in Pittsburgh, Pennsylvania (2002-2007); Gruntal & Company in New York, New York (2001-2002); UBS Painewebber in Weehawken, New Jersey (1995-2001); Kidder Peabody & Company in New York, New York (1991-1995); Advest in Hartford, Connecticut (1985-1991); and Dean Witter Reynolds (1981-1985). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on January 28, 1992; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 2, 1981; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 5 (Interest Rate Options Examination), which he obtained on December 11, 1982; and Series 7 (General Securities Representative Examination), which he obtained on September 19, 1981. He is a registered broker and investment adviser with 17 US states and territories: Arizona, California, Colorado, Delaware, Florida, Georgia, Indiana, Maryland, Massachusetts, North Carolina, Ohio, Pennsylvania, Tennessee, Texas, Virginia, Washington, and West Virginia. He is registered with five self-regulatory organizations (SROs): FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.
According to his BrokerCheck report, he has received one pending customer complaint and one denied customer complaint.
In September 2018 a customer alleged John Lisowski, while employed at Stifel Nicolaus & Company, mismanaged the account and failed to diversify investments. The customer is seeking $382,000 in damages in the pending complaint.
In 2008 a customer alleged John Lisowski, while employed at Stifel Nicolaus & Company,failed to follow instructions to liquidate investments. The customer sought $22,000 in damages in the complaint, which was denied.
If you or someone you know has complaints regarding John Lisowski, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on a contingency basis: 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.