Randall Minas (CRD #: 821449), a broker registered with Stifel, Nicolaus & Company, is involved in a client dispute that alleges Mr. Minas violated antifraud laws, according to his BrokerCheck record, accessed on October 28, 2020. This is only the latest in a long string of disclosures that investors should review.
On September 4, 2020, a client alleged that Randall Minas violate the antifraud provisions in Colorado securities laws. The client is seeking $500,000; the dispute is pending.
A client has also alleged that Randall Minas made unsuitable investment recommendations based on bad research. The client sought $600,000; the dispute settled for $150,000.
Between 2011 and 2014, Mr. Minas filed for bankruptcy twice. Randall Minas also entered into five financial compromises between 2011 and 2013.
On July 28, 2007, a client alleged that Randall Minas misrepresented investments and made unsuitable investment recommendations. The client sought $26,000; the dispute settled for $21,384.30.
On July 23, 2004, the client alleged that Mr. Minas made unsuitable investment recommendations and executed unauthorized trades. The client further alleged that Randall Minas failed to diversify his portfolio and made misrepresentations and omitted material facts regarding the purchase and sale of securities. The client sought $150,000; the dispute settled for $24,000.
Randal Minas has passed the Series 65 Uniform Investment Adviser Law Examination, the Series 63 Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, the Series 5 Interest Rate Options Examination, the Series 7 General Securities Representative Examination, the Series 24 General Securities Principal Examination, and the Series 4 Registered Options Principal Examination. He is a registered broker Alabama, Arizona, Arkansas, California, Colorado, Florida, Georgia, Hawaii, Illinois, Indiana, Kansas, Kentucky, Louisiana, Maryland, Michigan, Minnesota, Mississippi, Montana, Nevada, New York, North Carolina, Ohio, Oklahoma, Pennsylvania, South Carolina, Tennessee, Texas, Utah, Virginia, and Wisconsin. He is a registered investment adviser in Arizona, Arkansas, California, Colorado, Florida, Hawaii, Illinois, Indiana, Michigan, Nevada, North Carolina, Ohio, Texas, and Wisconsin.
Randall Minas has worked in the securities industry for 44 years. During his career, Mr. Minas has worked for the following firms:
- City Securities Corporation (CRD #: 1459)
- Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691)
- Eldon-Emmor & Co (CRD #: 1732)
If Randall Minas was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys at Fitapelli Kurta. Call (877) 238-4175 or email firstname.lastname@example.org for a free case consultation with a securities attorney.