November 2020- New Orleans, LA According to publicly available records, a Stifel, Nicolaus & Company broker William Geary Mason discloses a pending customer dispute and a termination.
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 May of 2020, a customer of Stifel, Nicolaus & Company, filed FINRA case #20-01422 alleging claims that Mason advised them to purchase unsuitable investments. The case is pending.
In July of 2009 Merrill Lynch, Pierce, Fenner & Smith terminated Mason’s employment in response to allegations that he violated the firm’s policy by exercising discretion in clients’ accounts, mismarking order tickets and making unsuitable trades in elderly clients’ accounts.
Mason has been employed by Stifel, Nicholaus & Company since July of 2015.
If you have questions about an account handled by William Geary Mason , call to learn how you may be able to recover damages through FINRA arbitration.
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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