John Suess: $200K Complaint Against Stifel Advisor

Edwardsville, Illinois financial advisor John Suess (CRD# 1950146) recently received an investor complaint alleging that his conduct resulted in six figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Stifel Nicolaus & Company.

Mr. Suess’s BrokerCheck report discloses one recent investor complaint. Filed in August 2025, it alleges that as a representative of Stifel Nicolaus, he breached contract and warranties, violated state securities law, committed fraud, breached his fiduciary duty, misrepresented and omitted material facts, engaged in unjust enrichment, and violated FINRA Conduct Rules 2010, 2020, 2090, 2111, 2110, and 3110. The pending complaint alleges damages of $200,000.

The complaint against Mr. Suess alleges violations of several crucial FINRA rules. Rule 2010, for instance, stipulates that FINRA-registered persons must “observe high standards of commercial honor and just and equitable principles of trade.” Various forms of unethical conduct, including the failure to follow a customer’s instructions, may be found to constitute violations of FINRA Rule 2010, provided the alleged activities occur “in the conduct of [the member’s] business.” Then there’s Rule 2020, which prohibits brokers from “effect[ing] any transaction in, or induc[ing] the purchase or sale of, any security by means of any manipulative, deceptive or other fraudulent device or contrivance.” Brokers who violate these and other rules may be found liable for damages.

Mr. Suess’s LinkedIn profile features a section in which he describes his services as a representative of Stifel Nicolaus & Company. “My mission is to be the trusted financial advisor for my clients and their families,” he explains. “I offer investment guidance based on specific needs, goals, and risk tolerances, without the influence of commissioned sales products.”

According to the Financial Industry Regulatory Authority, John Suess holds 26 years of securities industry experience. Based in Edwardsville, Illinois, he has been registered as a broker and an investment advisor with Stifel Nicolaus & Company since 2014. His past registrations include Wells Fargo Advisors and AG Edwards & Sons. His credentials include the passage of four securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the General Securities Representative Examination, or Series 7; the Uniform Combined State Law Examination, or Series 66; and the Uniform Securities Agent State Law Examination, or Series 63. He holds 23 state licenses. (Information current as of September 15, 2025.)

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