Nathaniel Patrick Kane at STIFEL, NICOLAUS & COMPANY, INCORPORATED – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 7126266
Nathaniel Patrick Kane is an Investment Adviser, associated with STIFEL, NICOLAUS & COMPANY, INCORPORATED located at ST. LOUIS, MO. Nathaniel Kane’s Central Registration Depository (CRD) number is 7126266 and the FINRA Profile can be found at – https://brokercheck.finra.org/individual/summary/5134112.

Disclosure #1 for Nathaniel Kane

    • Event Date: 4/15/2016
    • Disclosure Type: Criminal
    • Disclosure Resolution: Final Disposition
    • Disclosure Detail :: Criminal Charges :: Charges: Possession of Controlled Substance Except 35 Grams or less of Marijuana
    • Disposition: Amended
    • Amended Charges: Unlawful Use of Drug Paraphernalia
    • Amended Charge Type: MISDEMEANOR
    • Amended Charge Disposition: Pled guilty
See also  CHRISTOPHER ANTHONY PAGANELLI at STIFEL, NICOLAUS & COMPANY, INCORPORATED - View Complaints, Disclosures, Scams and Audit Report (Updated 2023)


Should I file a FINRA complaint against brokers like Nathaniel Patrick Kane?

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 Nathaniel Patrick Kane’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  ANDREW SCHEIER at STIFEL, NICOLAUS & COMPANY, INCORPORATED - View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

 
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 Nathaniel Patrick Kane

What is Nathaniel Kane's Central Registration Depository (CRD) Number?

7126266

Which firm is Nathaniel Patrick Kane associated with?

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Where is Nathaniel Kane located?

501 NORTH BROADWAY, ST. LOUIS, MO, 63102

Where can I find more details about Nathaniel Kane'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 Nathaniel Patrick Kane?

Yes. There are disclosures, allegations, or complaints filed against Nathaniel Patrick Kane. Click here to view all details

Where can I download a detailed FINRA report for Nathaniel Kane?

Click here to download a detailed FINRA report for Nathaniel Kane

Is it safe to do business with Nathaniel Patrick Kane?

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

See also  MARK ANDREW KOHN at LPL FINANCIAL LLC - View Complaints, Disclosures, Scams and Audit Report (Updated 2023)


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.



 

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

Share your experience with this broker

Leave a reply

Broker Audit
Logo
Register New Account