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Investor Alleges Steven Bartos Provided Misleading Investment Information

Steven Bartos (CRD #: 2232498), a broker registered with Stifel, Nicolaus & Company, is involved in a pending dispute, according to his BrokerCheck record, accessed on February 16, 2023. Read on to learn more about his alleged conduct as a broker.

Investor Dispute

On January 17, 2023, an investor alleged that Steven Bartos failed to understand the risks associated with certain investments and provided inaccurate and misleading investment information between April 2021 and December 2022. The client seeks $84,000 in this pending dispute.

FINRA Rule 2020

FINRA Rule 2020 bans the use of manipulation, deception, and other unethical tactics to influence investors’ decisions. Misrepresenting an investment’s requirements, potential returns, or other features violates this rule.

Background Information

Steven Bartos 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 7 – General Securities Representative Examination

Steven Bartos is a registered broker in 16 states and a registered investment adviser in Ohio and Texas.

He has also worked for the following firms:

  • Morgan Stanley Smith Barney (CRD#:149777)
  • Citigroup Global Markets (CRD#:7059)
  • Legg Mason Wood Walker (CRD#:6555)
  • Prudential Securities (CRD#:7471)
  • Kidder, Peabody & Company (CRD#:7613)

Kurta Law Can Help

If you worked with Steven Bartos and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and 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.

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