Stephen Courtney is a California based securities broker. He has worked in the securities industry for thirty-five years. During his career, he has been registered with three different securities firms.
His registrations include; Merrill Lynch (1983-1993), Citigroup Global Markets (1993-2007), and Stifel Nicolaus & Company (2007-Present).
Stephen Courtney’s publicly available FINRA BrokerCheck report shows that he has received multiple customer complaints over the course of his career.
In August 1998, a customer alleged unsuitable investment recommendations. This case was settled for $13,500 in damages.
In January 2019, customers alleged negligence, unsuitability, negligent misrepresentation, omission, intentional misrepresentation and omission, fraud, and violation of California securities laws. This case is currently pending. The customers are seeking $238,050 in damages.
Oakes & Fosher dedicates its entire legal practice to helping investors across the nation. If you, or someone you know, have lost money investing with Stephen Courtney, please contact Oakes & Fosher for a free and private consultation.