Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on July 16, 2018 indicate that Pennsylvania-based Stifel Nicolaus & Company broker/adviser Lawrence Delhagen has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Delhagen (CRD# 2779312).
Lawrence Delhagen has spent 21 years in the securities industry and has been registered with Stifel Nicolaus & Company in Center Valley, Pennsylvania since 2007. Previous registrations include Ryan Beck & Company in Allentown, Pennsylvania (2002-2007); Gruntal & Company in New York, New York (1996-2002); and WMA Securities in Duluth, Georgia (1996). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on November 1, 2007; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 23, 1996; and Series 7 (General Securities Representative Examination), which he obtained on August 21, 1996. He is a registered broker and investment adviser with 13 US states and territories: Arizona, California, Florida, Maryland, Massachusetts, New Jersey, New York, North Carolina, Pennsylvania, Rhode Island, Virginia, and Wisconsin. He is registered with five self-regulatory organizations (SROs): FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.
According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, and one denied customer complaint.
In June 2018 a customer alleged Lawrence Delhagen, while employed at Stifel Nicolaus & Company, churned the account, recommended unsuitable investments, acted negligently, committed fraud, misrepresented material facts, and violated state and federal securities laws. The customer is seeking unspecified damages in the pending complaint.
In 2014 a customer alleged Lawrence Delhagen, while employed at Stifel Nicolaus & Company, recommended unsuitable investments, breached the implied covenant of good faith and fair dealing, and breached his fiduciary duty. The complaint settled in 2015 for $22,500.
In 2014 a customer alleged Lawrence Delhagen, while employed at Stifel Nicolaus & Company, made unsuitable purchases which he did not solicit. The customer sought $60,000 in damages in the complaint, which was denied.
If you have lost money investing with Lawrence Delhagen, you may be able to recover your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis: Fitapelli Kurta only gets paid if and when you collect funds. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.