Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 2, 2018 indicate that Florida-based Stifel Nicolaus & Company broker/adviser John Cregan is involved in pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Cregan (CRD# 846069).
John Cregan has spent 30 years in the securities industry and has been registered with Stifel Nicolaus & Company in Palm Beach, Florida since 2015. Previous registrations include Barclays Capital in Palm Beach, Florida (2010-2015); Chase Securities in New York, New York (1998-2001); Barclays Capital in New York, New York (1997-1998); Morgan Stanley Market Products in New York, New York (1987-1997); Morgan Stanley & Company in New York, New York (1983-1997); and Smith Barney Harris Upham (1977-1983). He has passed eight securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on November 19, 2010; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 19, 1980; Series 3 (National Commodity Futures Examination), which he obtained on January 18, 2011; Series 7 (General Securities Representative Examination), which he obtained on November 19, 1977; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on November 15, 2010; Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on November 8, 2010; Series 24 (General Securities Principal Examination), which he obtained on August 21, 1997; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on May 21, 1993. He is a registered broker and investment adviser with 28 US states and territories.
According to his BrokerCheck report, he has received two pending customer complaints.
In December 2017 a customer alleged John Cregan, while employed at Stifel Nicolaus & Company, failed in his supervisory duties in connection to options investments. The customer is seeking $1,550,000 in damages in the pending complaint.
In 2016 a customer alleged John Cregan, while employed at Barclays Capital, violated securities law, breached his fiduciary duty, engaged in unjust enrichment, provided improper trading advice, and failed to provide certain disclosures. The customer sought $6,500,000 in damages in the complaint, which was dismissed.
If you or someone you know has lost money investing with John Cregan, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. 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.