Joe Ringhoffer (CRD #: 1402957), a broker and investment adviser registered with Stifel, Nicolaus, & Company, faces a customer complaint that alleges he executed unauthorized trades, according to his BrokerCheck record, accessed on January 20, 2021.
On December 14, 2020, an investor alleged that Joe Ringhoffer did not call him to obtain approval prior to executing trades. The client alleges that this took place over multiple years. The client is seeking $54,000; the dispute is pending.
On February 6, 2006, Ringhoffer was permitted to resign from his position at Wachovia Securities following allegations.
Joe Ringhoffer has passed the Series 65 Uniform Investment Adviser Law Examination, the Series 63 Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, and the Series 7 General Securities Representative Examination. He is a registered broker in Alabama, Florida, Louisiana, Minnesota, Tennessee, and Texas, and a registered investment adviser in Alabama and Texas.
During his 29 years of experience, Joe Ringhoffer has worked at the following firms:
- Stifel, Nicolaus & Company (CRD #: 793)
- Sterne Agee Asset Management (CRD #: 130888)
- Sterne, Agee & Leach (CRD #: 791)
- Wachovia Securities (CRD #: 19616)
- Prudential Securities Incorporated (CRD #: 7471)
- Morgan Keegan & Company (CRD #: 4161)
If Joe Ringhoffer was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email email@example.com for a free case consultation with a securities attorney.