Articles Tagged with Duane Ariel Smith

Stoltmann Law Offices is investigating Duane Ariel Smith, a broker with Stifel, Nicolaus & Co. He has two customer complaints against him, according to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report. One complaint alleged that Smith made unsuitable investment recommendations to a customer, and engaged in fraudulent and deceitful conduct. The other complaint alleged Smith breached his fiduciary duty to a customer and mishandled their accounts from 2008 until 2014. Duane Ariel Smith was registered with Merrill Lynch in Englewood, Colorado from June 1995 until September 2008 and Stifel, Nicolaus & Co. in Greenwood Village, Colorado from August 2008 until March 2014. He is currently registered with Neideger, Tucker, Bruner Inc. in Englewood, and has been since March 2014.

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