Former Stifel, Nicolaus & Company, Incorporated broker Patty Dawson (CRD# 1280879) faces a million-dollar-plus customer complaint related to negligence accusations. She was registered with Stifel, Nicolaus & Company, Incorporated in Ann Arbor, Michigan, from 2005 to 2023.
Patty Dawson Customer Complaints
She has been the subject of two customer complaints between 2023 and 2024, according to her CRD report:
February 2024. “Clients allege registered representative misrepresented fixed income securities as safe investments with low risk and volatility. Timeframe = 9/19/19 through 4/25/22.” The customer is seeking $52,000 in damages, and the case is currently pending. The complaint was regarding government debt, and it took place while he was registered with Stifel, Nicolaus & Company, Incorporated.
December 2023. “Claimants allege violations of Michigan Uniform Securities Act of 2008, violation of California Corporate Securities Law, violation of Missouri Securities Act of 2003, violation of Michigan Consumer Protection Act, violation of California Consumer Legal Remedies Act, violation of Missouri Consumer Protection Act, breach of fiduciary duty, violation of Regulation Best Interest, violation of FINRA Rule 2111, violation of FINRA Rule 3110, negligence, and breach of contract.” The customer is seeking $1,000,001 in damages, and the case is currently pending. The complaint was regarding debt-backed assets, and it took place while he was registered with Stifel, Nicolaus & Company, Incorporated.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Stifel, Nicolaus & Company, Incorporated may be liable for investment or other losses suffered by Patty Dawson’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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