Unauthorized Trading

Thomas Lee Sickler of Denver Colorado a stockbroker currently registered with Stifel Nicolaus Company Incorporated is the subject of a customer initiated investment related written complaint on July 19, 2018 where the customer requested $45,084.00 in damages supported by accusations that (1) unauthorized trades were executed in the customer’s account and (2) the customer’s investment account contained an unsuitable allocation of equities.

Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that Sickler is referenced in two more customer initiated investment related disputes containing allegations of his violative conduct during the time that he was associated with Stifel Nicolaus. In particular, a customer filed an investment related complaint involving Sickler’s conduct in which the customer sought $19,672.80 in damages founded on accusations that Sickler placed the customer in over-the-counter equities that were inappropriate given the failure of those investments to conform to the customer’s objectives for investing.

Thereafter, on June 30, 2016, a customer filed an investment related complaint concerning Sickler’s activities where the customer requested damages estimated to exceed $5,000.00 based upon allegations that the customer’s funds had been placed in equities even though those investments failed to be suitable for the customer.

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