Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 1, 2018 indicate that New Jersey-based Hennion & Walsh broker/adviser Susan Steffes has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Steffes (CRD# 5596948).
Susan Steffes has spent eight years in the securities industry and has been registered with Hennion & Walsh in Parsippany, New Jersey since 2009. She has no previous registrations. She has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which she obtained on December 21, 2009, and Series 7 (General Securities Representative Examination), which she obtained on March 23, 2009. She is a registered broker and investment adviser with 19 US states and territories: Arizona, California, Connecticut, Florida, Georgia, Illinois, Indiana, Maryland, Massachusetts, New Hampshire, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Dakota, Texas, Virginia and Wisconsin.
According to her BrokerCheck report, she has received one customer complaint and one denied customer complaint.
In November 2017 a customer alleged Susan Steffes, while employed at Hennion & Walsh, recommended unsuitable municipal debt investments from April 2011 through April 2017. The customer is seeking $259,466 in damages in the pending complaint.
In 2013 a customer alleged Susan Steffes, while employed at Hennion & Walsh, did not explain the potential for loss in an investment in unit investment trust products. The customer sought $49,999 in damages in the complaint, which was denied.
If you or someone you know has lost money investing with Susan Steffes, call the experienced attorneys at 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.