Jeffrey Lawrence Caress at STIFEL, NICOLAUS & COMPANY, INCORPORATED – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 7098247
Jeffrey Lawrence Caress is an Investment Adviser, associated with STIFEL, NICOLAUS & COMPANY, INCORPORATED located at NEW YORK, NY. Jeffrey Caress’s Central Registration Depository (CRD) number is 7098247 and the FINRA Profile can be found at – https://brokercheck.finra.org/individual/summary/5134112.

Disclosure #1 for Jeffrey Caress

    • Event Date: 10/12/2006
    • Disclosure Type: Regulatory
    • Disclosure Resolution: Final
    • Initiated By: Supreme Court of the State of New York – Appellate Division First Department
    • Allegations: Violation of Section 468-a of the Judiciary Law for failure to file biennial registration statements with the Office of Court Administration.
    • Resolution: Order
    • Sanction Details :: Sanctions: Suspension
    • Sanction Details :: Registration Capacities Affected: N/A
    • Duration: Until Registration Statement Submitted
    • Duration Explanation: Registration statement submitted 6/26/2015. Suspension lifted shortly thereafter.
    • Start Date: 11/11/2006
    • End Date: 6/26/2015
    • Broker Comment: My violation of Section 468-a of the Judiciary Law was a result of my failure to file a registration statement with administrative offices and was in no way the result of any negligence or malfeasance in connection with the actual practice of law. Indeed, at the time of the violation in 2006, I had not practiced law for over seven years. To make matters worse, I never received notice of my violation which would have allowed me to remedy this situation by simply certifying with the Chief Administrator that I remained on retired status and had not engaged in the practice of law during the reporting period. From a review of the Order, it appears that my business contact information on file with the Office of Court Administration was inaccurate and had not been updated since I had last practiced law almost seven years earlier. This inaccuracy leads me to believe that my personal contact information was similarly outdated since I had moved twice during the seven year period since I retired from the practice of law. Once I became aware of the disciplinary action taken against me in June 2015, I immediately petitioned the Court, represented that I had not engaged in the practice of law during all missing reporting periods and the suspension was withdrawn. My registration status with the Bar now reflects \Admitted – Currently Registered\. However, I currently do not practice law and remain on retired status.
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Should I file a FINRA complaint against brokers like Jeffrey Lawrence Caress?

Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.

Update - 2022.11.15If you have suffered investment losses that may have been caused by Jeffrey Lawrence Caress’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!

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Frequently Asked Questions About Jeffrey Lawrence Caress

What is Jeffrey Caress's Central Registration Depository (CRD) Number?

7098247

Which firm is Jeffrey Lawrence Caress associated with?

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Where is Jeffrey Caress located?

787 7TH AVENUE, NEW YORK, NY, 10019

Where can I find more details about Jeffrey Caress's Investment Firm?

Visit https://brokercheck.finra.org/firm/summary/793 to read a detailed report for STIFEL, NICOLAUS & COMPANY, INCORPORATED

Are there any disclosures, allegations or complaints filed against Jeffrey Lawrence Caress?

Yes. There are disclosures, allegations, or complaints filed against Jeffrey Lawrence Caress. Click here to view all details

Where can I download a detailed FINRA report for Jeffrey Caress?

Click here to download a detailed FINRA report for Jeffrey Caress

Is it safe to do business with Jeffrey Lawrence Caress?

We’re not sure. Please research Jeffrey Caress’s disclosures, allegations and complaints before taking a decision

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Originally posted on November 17, 2022 @ 9:04 pm

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