STEVEN LEE GOLDBERG at STIFEL, NICOLAUS & COMPANY, INCORPORATED – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 2443858
STEVEN LEE GOLDBERG is an Investment Adviser, associated with STIFEL, NICOLAUS & COMPANY, INCORPORATED located at CLAYTON, MO. STEVEN GOLDBERG’s Central Registration Depository (CRD) number is 2443858 and the FINRA Profile can be found at – https://brokercheck.finra.org/individual/summary/5134112.

Disclosure #1 for STEVEN GOLDBERG

    • Event Date: 1/27/2003
    • Disclosure Type: Customer Dispute
    • Disclosure Resolution: Denied
    • Disclosure Detail :: Allegations: UNSUITABLE INVESTMENTS. TRADING W/O 3RD PARTY WRITTEN AUTHORIZATION. ESTIMATED IN EXCESS OF $5000.00
    • Damage Amount Requested: $5,000.00
    • Arbitration Docket Number:
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Should I file a FINRA complaint against brokers like STEVEN LEE GOLDBERG?

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 STEVEN LEE GOLDBERG’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 STEVEN LEE GOLDBERG

What is STEVEN GOLDBERG's Central Registration Depository (CRD) Number?

2443858

Which firm is STEVEN LEE GOLDBERG associated with?

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Where is STEVEN GOLDBERG located?

8182 MARYLAND AVE., CLAYTON, MO, 63105

Where can I find more details about STEVEN GOLDBERG'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 STEVEN LEE GOLDBERG?

Yes. There are disclosures, allegations, or complaints filed against STEVEN LEE GOLDBERG. Click here to view all details

Where can I download a detailed FINRA report for STEVEN GOLDBERG?

Click here to download a detailed FINRA report for STEVEN GOLDBERG

Is it safe to do business with STEVEN LEE GOLDBERG?

We’re not sure. Please research STEVEN GOLDBERG’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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