Published On: October 19, 2016

Stoltmann Law Offices is investigating Charles Obryant, who has been accused by the Financial Industry Regulatory Authority (FINRA) for alleged unsuitable investment recommendations, negligence, breach of fiduciary duty and unauthorized trading, among other transgressions. Obryant was registered with Stifel Nicolaus when many of the complaints were lodged against him. The above mentioned transgressions are against securities rules and regulations, and a brokerage firm such as Stifel Nicolaus has a duty to reasonably supervise its brokers while they are registered with the firm. If the firm does not, it may be liable for investment losses incurred. Please call our securities law offices today at 312-332-4200 to speak to an attorney about your options of what you can do to recover your losses with Stifel Nicolaus and Charles Obryant. The call to us is free with no obligation so please call today.

According to Obryant’s online FINRA BrokerCheck report, Obryant was registered with Smith Barney, EF Hutton, Carolina Securities Cop, Thomson McKinnon Securities, Legg Mason Wood Walker, PowellJohnson and Stifel Nicolaus in Raleigh, North Carolina from October 2004 until February 2016. He is currently registered with Thompson Davis & Co. in Raleigh and has been since March 2016. He has four customer disputes against him.

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If you have suffered financial losses because of the negligence or fraud of your financial advisor or broker through unsuitable investment recommendations, over-concentration, churning, misrepresenting risks, conversion or selling away, you have legal rights and options to pursue recovery of those losses.

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