Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 20, 2019 indicate that California-based Stifel Nicolaus & Company broker/adviser Stephen Courtney has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Courtney (CRD# 1141394).
Stephen Courtney has spent 35 years in the securities industry and has been registered with Stifel Nicolaus & Company in Pasadena, California since 2007. Previous registrations include Citigroup Global Markets in Claremont, California (1993-2007) and Merrill Lynch in New York, New York (1983-1993). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 6, 1983; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on June 18, 1983. He is a registered broker and investment adviser with 14 US states and territories: Arizona, California, Florida, Georgia, Idaho, Kentucky, Nevada, New Jersey, New Mexico, New York, Oklahoma, Oregon, Texas, and 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 customer complaint and one pending customer complaint.
In January 2019 a party of customers alleged Stephen Courtney, while employed at Stifel Nicolaus & Company, acted negligently, recommended unsuitable investments, negligently misrepresented and omitted material facts, intentionally misrepresented and omitted material facts, committed fraud, and violated California securities laws. The customers are seeking $238,050 in damages in the pending complaint.
In 1998 a customer alleged Stephen Courtney, while employed at Salomon Smith Barney, recommended stock and bond investments that performed poorly. The complaint settled for more than $13,500.
If you have complaints regarding Stephen Courtney, 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.