MARK CHRISTOPHER MATTHES at STIFEL, NICOLAUS & COMPANY, INCORPORATED – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 2033777
MARK CHRISTOPHER MATTHES is an Investment Adviser, associated with STIFEL, NICOLAUS & COMPANY, INCORPORATED located at ST. LOUIS, MO. MARK MATTHES’s Central Registration Depository (CRD) number is 2033777 and the FINRA Profile can be found at – https://brokercheck.finra.org/individual/summary/5134112.

Disclosure #1 for MARK MATTHES

    • Event Date: 8/19/2007
    • Disclosure Type: Customer Dispute
    • Disclosure Resolution: Denied
    • Disclosure Detail :: Allegations: CLIENT ALLEGES RR SHOULD HAVE KNOWN THE PREFERRED STOCK HE RECOMMENDED WAS GOING TO LOSE MONEY SO HE SHOULD HAVE NEVER RECOMMENDED IT.
    • Damage Amount Requested: $50,000.00
    • Arbitration Docket Number:
    • Broker Comment: THE CLIENT WAS FULLY AWARE OF THE PRODUCT HE PURCHASED AND THE RISKS ASSOCIATED WITH THAT PRODUCT. THIS CLAIM IS UNFOUNDED AND WAS DENIED.
See also  ROBERT RALPH JOHNSON at STIFEL, NICOLAUS & COMPANY, INCORPORATED - View Complaints, Disclosures, Scams and Audit Report (Updated 2023)


Should I file a FINRA complaint against brokers like MARK CHRISTOPHER MATTHES?

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 MARK CHRISTOPHER MATTHES’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!

See also  CARLOS M BENITEZ at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED - View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

 
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Frequently Asked Questions About MARK CHRISTOPHER MATTHES

What is MARK MATTHES's Central Registration Depository (CRD) Number?

2033777

Which firm is MARK CHRISTOPHER MATTHES associated with?

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Where is MARK MATTHES located?

501 N. BROADWAY, ST. LOUIS, MO, 63102

Where can I find more details about MARK MATTHES'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 MARK CHRISTOPHER MATTHES?

Yes. There are disclosures, allegations, or complaints filed against MARK CHRISTOPHER MATTHES. Click here to view all details

Where can I download a detailed FINRA report for MARK MATTHES?

Click here to download a detailed FINRA report for MARK MATTHES

Is it safe to do business with MARK CHRISTOPHER MATTHES?

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

See also  DEAN NEIL THOMPSON at STIFEL, NICOLAUS & COMPANY, INCORPORATED - View Complaints, Disclosures, Scams and Audit Report (Updated 2023)


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

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