National investment loss lawyers KlaymanToskes is investigating broker Ellen Harless (CRD# 1200727), formerly of Stifel Nicolaus & Company and Merrill Lynch.
According to FINRA BrokerCheck, Ellen Harless of Stifel Nicolaus & Company is facing a pending customer complaint alleging $750,000 in investor damages due to breach of fiduciary duty, civil conspiracy, negligence and unjust enrichment.
Investors that suffered losses with broker Ellen Harless are encouraged to contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or by email at investigations@klaymantoskes.com to discuss potential recovery options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.
Financial advisor Ellen Harless, formerly of Stifel Nicolaus & Company, is currently involved in a pending customer complaint alleging $750,000 in investor damages. The complaint alleges breach of fiduciary duty, civil conspiracy, negligence and unjust enrichment at Stifel, Nicolaus, & Co. According to FINRA BrokerCheck, Harless was registered with Stifel from Janaury 2021 to May 2024 in Sugar Land, TX and was also previously registered as a financial advisor with Merrill Lynch until January 2021, in Houston, TX.
As an investor, there are a few signs that you should look out for if you believe you may have a claim against your financial advisor. These signs could potentially indicate misconduct, negligence, or investment fraud. Investors are encouraged to contact our firm immediately if you have experienced any of the following:
Some investors have close relationships with their brokers due to the time and trust built over the course of their investment relationship. However, it is crucial to remember that financial decisions should be based on careful analysis and due diligence rather than solely relying on personal relationships.
Engaging the services of an experienced securities attorney to evaluate your specific circumstances is strongly advised. At KlaymanToskes, our team of experienced securities attorneys has a deep understanding of this complex area of law, allowing us to provide invaluable insight and tailored guidance that directly addresses your individual needs.
If you suffered losses with broker Ellen Harless, or have concerns regarding your investment portfolio at Stifel Nicolaus & Company, Merrill Lynch, or with any other financial advisor or firm, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation.