Patty Jane Dawson of Ann Arbor, Michigan, a stockbroker registered with Stifel Nicolaus Company Inc., was the subject of a customer initiated investment related complaint filed on February 5, 2024, in which the customer requested $52,000.00 in damages based upon allegations that Dawson made misrepresentations of material fact in connection with the sale of government bonds during the time that Dawson was associated with Stifel Nicolaus. The complaint was denied.
This is not the first time that Dawson has been referenced in a customer initiated investment related dispute concerning Dawson’s conduct in the securities industry. Financial Industry Regulatory Authority (FINRA) Patty Jane Dawson shows that Dawson is also referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested $1,000,001.00 in damages based upon allegations that Dawson breached a contract, was negligent, violated FINRA rules, breached her fiduciary duties, and violated Missouri Securities Act, California Corporate Securities Law, and Michigan Securities Act in connection with the sale of asset-backed bonds when Dawson was associated with Stifel Nicolaus. FINRA Arbitration No. 23-03604 (December 20, 2023). As of June 2024, the matter remains pending.
Dawson was associated with Stifel Nicolaus in Ann Arbor, Michigan from August 19, 2005, to October 10, 2023.
