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28 Sep 2018, 3:00 am
DiMaria, the ex-CFO of Bankrate Inc., to 10 years in prison. [read post]
5 Dec 2016, 6:26 am
From July 2007 through November 2009 Deemer was associated with Stifel, Nicolaus & Company, Incorporated. [read post]
26 Jul 2019, 1:24 pm
Five of the firms that self-reported collectively paid over $30M in restitution: Raymond James Financial Services (RJF) Wells Fargo Advisors (WFC) Raymond James & Associates Wells Fargo Advisors Financial Network LPL Financial (LPLA) Several months later, Edward Jones, AXA Advisors, Janney Montgomery Scott, Stifel Nicolaus & Company (SF), and Stephens Inc. collectively agreed to pay $18M in restitution to charitable and retirement accounts, also… [read post]
4 May 2023, 1:58 pm
However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers: NAME FORMER EMPLOYERS Austin Kiick Equitable Advisors, LLC Isaac LaFond Patrick Capital Markets, LLC IFP Securities, LLC Steve Moise Joseph Stone Capital, LLC Spartan Capital Securities, LLC David Morris Stifel, Nicolaus & Company, Incorporated… [read post]
1 Nov 2019, 5:49 am
Cohen is registered as both a Broker and an Investment Advisor, and has been registered at the following firms: Stifel, Nicolaus & Company, Inc., Melville, New York– May 14, 2015 to March 4, 2019Janney Montgomery Scott LLC, Melville, New York– September 14, 2007 to May 15, 2015Oppenheimer & Co., Inc., Melville, New York– March 14, 2003 to September 18, 2007 Wachovia Securities, Inc., St. [read post]
1 Nov 2019, 5:49 am
Cohen is registered as both a Broker and an Investment Advisor, and has been registered at the following firms: Stifel, Nicolaus & Company, Inc., Melville, New York– May 14, 2015 to March 4, 2019Janney Montgomery Scott LLC, Melville, New York– September 14, 2007 to May 15, 2015Oppenheimer & Co., Inc., Melville, New York– March 14, 2003 to September 18, 2007 Wachovia Securities, Inc., St. [read post]
1 Aug 2012, 5:51 am
Kruszewski Chairman, President & Chief Executive Officer Stifel, Nicolaus & Company, Incorporated 2012 Board at Large Francois O. [read post]
31 Jan 2024, 11:31 am
– $13.5 million, Stifel Nicolaus & Company, Inc. [read post]
19 May 2022, 12:59 pm
Turner, who has four customer complaints on his record, with three currently pending, was reportedly registered with the following FINRA registered firms, during his career in the securities industry: 09/24/2021 – 02/07/2022, STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793), WACO, TX, 03/08/1996 – 10/12/2021, UBS FINANCIAL SERVICES INC. [read post]
30 Jan 2023, 7:13 am
According to his FINRA Broker Report, Turner was affiliated with the following firms during his career, 09/24/2021 – 02/07/2022, STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793), WACO, TX, B, 03/08/1996 – 10/12/2021, UBS FINANCIAL SERVICES INC. [read post]
4 Aug 2023, 7:16 am
Morgan Securities LLC Mulan Greenway David Morris Stifel, Nicolaus & Company, Incorporated UBS Financial Services Inc. [read post]
28 Sep 2023, 1:18 pm
From 2010 to 2014, Dagostino reportedly served as a broker with Stifel, Nicolaus & Company, Incorporated, in Oyster Bay, New York. [read post]
28 Sep 2023, 1:18 pm
From 2010 to 2014, Dagostino reportedly served as a broker with Stifel, Nicolaus & Company, Incorporated, in Oyster Bay, New York. [read post]
28 Sep 2023, 1:18 pm
From 2010 to 2014, Dagostino reportedly served as a broker with Stifel, Nicolaus & Company, Incorporated, in Oyster Bay, New York. [read post]
14 Nov 2011, 2:13 pm
Also, a member of the board of Mariner Energy Inc., an oil and gas company, was charged for trading on confidential information about its impending takeover. [read post]
3 Nov 2010, 1:06 pm
Well, you stick to being an agrarian economy and you don’t charter a national bank “There is a lot of thought going into trying to figure out what the Fed is going to do,” said Martin Mitchell, head government bond trader at the Baltimore unit of Stifel Nicolaus & Co., a St. [read post]
