Charles John Obryant III of Raleigh North Carolina a stockbroker formerly registered with Stifel Nicholas Co. Inc. is the subject of a customer initiated investment related arbitration claim which was settled for $330,000.00 in damages founded on accusations that (1) stock trades effected in the customer’s account failed to be suitable for the customer given […]
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Tag Archives: Charles John Obryant III
Stifel Nicholas Sued By Investors For Churning
June 09, 2019 | Posted by : Guiliano Law Group | Breach of Fiduciary Duty, Churning, Excessive Trading, Failure To Supervise, Investment and Regulatory News, Securities Arbitration Claims, Unsuitable Investment Recommendations | 0 Comments
Stifel Nicolaus Named In FINRA Securities Arbitration Alleging Unsuitability
January 03, 2017 | Posted by : Guiliano Law Group | Breach of Fiduciary Duty, Investment and Regulatory News, Securities Arbitration Claims | 0 Comments
Charles John Obryant III, of Raleigh, North Carolina, a stockbroker formerly registered with Stifel, Nicolaus & Company, has been named in a customer initiated investment related arbitration claim on October 2, 2015, which settled for $632,298.00 in damages based upon allegations that Obryant negligently handled the customer’s investment account, breached his fiduciary duty, and effected […]
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