June 2020 -Abilene, TX
The FINRA records of Dale Franklin Johnson , a stockbroker registered with Stifel, Nicolaus & Company , disclose a pending customer dispute.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In September 2019, a customer of Morgan Stanely & Co. filed FINRA case #19-02913 alleging failure to supervise with respect to Financial Advisor’s management of trust account from 2004 until 2015.
Johnson has been employed with Stifel, Nicolaus & Company since June of 2020. Prior employer was Morgan Stanley. Johnson discloses a business affiliation with Archives & Security, Inc. in Abilene, TX.
If you have questions about an account handled by Dale Johnson, Jr. call for a no charge consultation with an experienced securities attorney.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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