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Michelle Stebbins Involved in Failure to Supervise Disputes

Michelle Stebbins (CRD #: 4156378), a broker registered with Stifel, Nicolaus & Company, is the subject of an investor dispute. This is according to her BrokerCheck record, accessed on May 10, 2024. Keep reading if you have questions regarding her alleged conduct. 

Investor Allegations

Michelle Stebbins appears in three investor disputes alleging failure to supervise. All three disputes are from 2024. Investors are seeking over $1.3 million. 

Failure to Supervise 3110

FINRA Rule 3110 requires that firms establish systems of supervision to maintain their compliance with securities regulations. This includes appointing supervisors and providing them with Written Supervisory Procedures (WSPs).

Background Information 

Michelle Stebbins has passed the following exams: 

  • Series 65 Uniform Investment Adviser Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination
  • Series 3 National Commodity Futures Examination  
  • Series 31 Futures Managed Funds Examination 
  • Series 7 General Securities Representative Examination on  
  • Series 10 General Securities Sales Supervisor – General Module Examination 
  • Series 9 General Securities Sales Supervisor – Options Module Examination 

She is a registered broker in 34 states and D.C. She is a registered investment adviser in Michigan. 

During her 24 years of experience, Michelle Stebbins registered with four firms: 

  • Stifel, Nicolaus & Company (CRD #: 793) 
  • Wells Fargo Clearing Services (CRD #: 19616) 
  • Merrill Lynch, Pierce Fenner & Smith (CRD #: 7691) 
  • UBS Financial Services (CRD #: 8174) 

Kurta Law Can Help 

If you have worked with Michelle Stebbins and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.

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