Close Menu
Free Consultation: 888-976-6111

Naples Advisor Stephen Spahr: Investor Files New Complaint

Janney Montgomery Scott financial advisor Stephen Spahr (CRD# 865189) recently received an investor complaint alleging his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Naples, Florida.

Mr. Spahr’s BrokerCheck report discloses one investor complaint. Filed in September 2022, it alleges that as a representative of Janney Montgomery Scott, he made a poor investment recommendation involving a stock product. (Securities industry rules and regulations stipulate that brokers must recommend investments that are suitable for their customers’ background and objectives: more information on these standards is available here.) The pending complaint alleges damages of $200,000.

According to the Financial Industry Regulatory Authority, Stephen Spahr holds 43 years of securities industry experience. Based in Naples, Florida, he has been a broker and an investment advisor with Janney Montgomery Scott since 2015. His past registrations include Raymond James & Associates (Naples, Florida; 2013-2015), Morgan Keegan & Company (Naples, Florida; 2006-2013), Citigroup Global Markets (Naples, Florida; 2006), Legg Mason Wood Walker (Naples, Florida; 1995-2006), Prudential Securities (New York, New York; 1979-1995), and Prudential-Bache Securities (1984-1986). His credentials include the passage of five securities industry qualifying exams: the General Securities Sales Supervisor Examination (Options Module & General Module), or Series 8; the General Securities Representative Examination, or Series 7; the Interest Rate Options Examination, or Series 5; the Securities Industry Essentials Examination, or SIE; and the Uniform Securities Agent State Law Examination, or Series 63. He holds 46 state licenses. (Information current as of November 2, 2022.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.

Facebook Twitter LinkedIn
Contact Us For A Free Case Evaluation
protected by reCAPTCHA Privacy - Terms
Latest Blog Posts
  • Sherwin Sargeant: FINRA Bars PlanMember Advisor After Crypto Probe

    Former Orlando, Florida financial advisor Sherwin Sargeant (CRD# 5096798) has been barred by FINRA in connection with allegations of undisclosed...

    Read More
  • Jeremy Burch: Wells Fargo Advisor Resigns, Joins Merrill

    Miami, Florida financial advisor Jeremy Burch (CRD# 4073551) recently resigned from Wells Fargo while under review for concerns involving his...

    Read More
  • Fridtjov Markussen: AMJ Financial Advisor Faces $150K Complaint

    A recent investor complaint against Leesburg, Virginia financial advisor Fridtjov Markussen (CRD# 4323396) alleges that his conduct resulted in six-figure...

    Read More
  • Melissa Spangler: Merrill Lynch Advisor Receives Fraud Complaint

    Boston, Massachusetts financial advisor Melissa Spangler (CRD# 4795404) allegedly facilitated unauthorized transfers, according to a recently filed complaint. Financial Industry...

    Read More
  • Previous
  • Next