{"id":5751,"date":"2018-02-05T16:37:47","date_gmt":"2018-02-05T21:37:47","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=5751"},"modified":"2018-02-06T16:53:48","modified_gmt":"2018-02-06T21:53:48","slug":"stifel-nicolaus-maryland-arbitration-lawyer","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/stifel-nicolaus-maryland-arbitration-lawyer\/","title":{"rendered":"Silver Law Group is Investigating Claims Against former Stifel, Nicolaus & Company, Inc. Broker Coleman J. Devlin for Unauthorized Trading in Customer Accounts"},"content":{"rendered":"

Silver Law Group is investigating former Stifel, Nicolaus & Company, Inc. (\u201cStifel Nicolaus\u201d) broker Coleman Joseph Devlin (\u201cDevlin\u201d)<\/a> for allegations of executing trades in customer accounts without first obtaining authorization from the customers. Devlin was employed by Stifel Nicolaus’ Baltimore, Maryland office prior to his termination in June 2016.<\/p>\n

The Financial Industry Regulatory Authority (\u201cFINRA\u201d) suspended Devlin on 11\/6\/2017 for a 30 day period ending 12\/18\/2017 after Devlin, without admitting or denying the findings, consented to FINRA\u2019s findings that he had executed trades in 5 customer accounts without their prior authorization while at Stifel Nicolaus.<\/p>\n

Devlin has been the subject of 14 customer disputes of which 2 are currently still pending. The disputes include allegations of unsuitable investments, unauthorized trading, over-concentration of the accounts, breach of fiduciary duty, and negligent supervision. Stifel Nicolaus terminated Devlin\u2019s employment in June 2016 in connection with the customer complaints. A recently filed FINRA arbitration claim is seeking $20,000,000.00 alleging Stifel Nicolaus negligently supervised Devlin.<\/p>\n

Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

Silver Law Group is investigating former Stifel, Nicolaus & Company, Inc. (\u201cStifel Nicolaus\u201d) broker Coleman Joseph Devlin (\u201cDevlin\u201d) for allegations of executing trades in customer accounts without first obtaining authorization from the customers. Devlin was employed by Stifel Nicolaus’ Baltimore, Maryland office prior to his termination in June 2016. The Financial Industry Regulatory Authority (\u201cFINRA\u201d) […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[581],"tags":[718,719],"class_list":["post-5751","post","type-post","status-publish","format-standard","hentry","category-unauthorized-trading","tag-coleman-j-devlin","tag-stifel-nicolaus"],"yoast_head":"\nSilver Law Group is Investigating Claims Against former Stifel, Nicolaus & Company, Inc. Broker Coleman J. Devlin for Unauthorized Trading in Customer Accounts — Securities Arbitration Lawyers Blog — February 5, 2018<\/title>\n<meta name=\"description\" content=\"Silver Law Group is investigating former Stifel, Nicolaus & Company, Inc. (\u201cStifel Nicolaus\u201d) broker Coleman Joseph Devlin (\u201cDevlin\u201d) for allegations — February 5, 2018\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/stifel-nicolaus-maryland-arbitration-lawyer\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Silver Law Group is Investigating Claims Against former Stifel, Nicolaus & Company, Inc. Broker Coleman J. 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