Joseph Federico at STIFEL, NICOLAUS & COMPANY, INCORPORATED – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 6965563
Joseph Federico is an Investment Adviser, associated with STIFEL, NICOLAUS & COMPANY, INCORPORATED located at NEW YORK, NY. Joseph Federico’s Central Registration Depository (CRD) number is 6965563 and the FINRA Profile can be found at – https://brokercheck.finra.org/individual/summary/5134112.

Disclosure #1 for Joseph Federico

    • Event Date: 10/15/2010
    • Disclosure Type: Criminal
    • Disclosure Resolution: Final Disposition
    • Disclosure Detail :: Criminal Charges :: Charges: 2C: 17-3A(1) Criminal Mischief – Damage Property
    • Disposition: Amended
    • Amended Charges: 213-2 Disorderly Conduct – Disturbances – Private Property
    • Amended Charge Type: OTHER
    • Amended Charge Disposition: Pled guilty


Should I file a FINRA complaint against brokers like Joseph Federico?

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 Joseph Federico’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!

 
BrokerAudit.com helps you make informed choices about brokers and brokerage firms and provides easy access to investment adviser information. Our database reports whether a person or firm is registered, as required by law, to sell securities (stocks, bonds, mutual funds, and more), offer investment advice, or both. We provide you with a snapshot of a broker’s employment history, regulatory actions, investment-related licensing information, arbitrations, and complaints, and allow users to share their experiences and reviews with these brokers and brokerage firms.


Frequently Asked Questions About Joseph Federico

What is Joseph Federico's Central Registration Depository (CRD) Number?

6965563

Which firm is Joseph Federico associated with?

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Where is Joseph Federico located?

787 7TH AVENUE, NEW YORK, NY, 10019

Where can I find more details about Joseph Federico'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 Joseph Federico?

Yes. There are disclosures, allegations, or complaints filed against Joseph Federico. Click here to view all details

Where can I download a detailed FINRA report for Joseph Federico?

Click here to download a detailed FINRA report for Joseph Federico

Is it safe to do business with Joseph Federico?

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


Report Inaccuracy
Disclaimer

All information displayed on this page is publicly available information under SEC guidelines, in compliance with 5 U.S.C. § 552 (Freedom of Information Act) and 5 U.S.C. § 552a (the Privacy Act) and is published unmodified, as provided by FINRA. BrokerAudit.com does not modify the data and makes no claims regarding its accuracy, nor will entertain any request to remove any entry. The inclusion of a person or entity in the BrokerAudit Database is not intended to suggest or imply that they have engaged in illegal or improper conduct related to FINRA. BrokerAudit.com intends to offer a platform where suspicious activities can be shared and discussed in a secure environment.



 

Share your experience with this broker

Leave a reply

Broker Audit
Logo
Register New Account