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9 May 2023, 2:21 pm
David Morris (David Jeffrey Morris, CRD# 2522277) is a former registered broker and investment advisor whose last known employer was Stifel, Nicolaus & Company, Incorporated (CRD# 793) of Chicago, IL. [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 UBS… [read post]
4 May 2023, 7:46 am
Stifel, Nicolaus, & Company, Inc., is an independent broker dealer registered in Massachusetts (CRD No. 793). [read post]
21 Apr 2023, 6:20 am
Turner at UBS or Stifel Nicolaus who was sold a Fairfax “fixed annuity” may have a potential claim for investment fraud and selling away. [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]
22 Sep 2022, 9:23 am
Joseph Pratt Stifel Nicolaus & Co Inc Wells Fargo Advisors LLC Joseph Valdini Aegis Capital Corp. [read post]
31 Aug 2022, 7:08 am
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that broker Michael Anthony Fahsholtz (Fahsholtz), most recently employed by Stifel, Nicolaus & Company, Inc. [read post]
1 Jun 2022, 2:15 pm
Turner, 67, worked at UBS for 25 years before going to work for Stifel, Nicolaus & Co. in October 2021. [read post]
1 Jun 2022, 8:31 am
According to FINRA Disciplinary actions for May 2022, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Kevin Harms Chelsea Financial Services Salomon Whitney Financial David Morris Stifel, Nicolaus & Company, Incorporated UBS Financial Services Inc. [read post]
24 May 2022, 11:38 am
In late 2021, Turner and his wife joined Stifel, Nicolaus, & Co. [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]
11 May 2022, 11:15 am
The Relevant Timeline and Details Turner worked at UBS for 25 years prior to going to work at Stifel Nicolaus in October of 2021. [read post]
21 Mar 2022, 3:21 pm
Powers, who joined the industry in 1988, left Morgan Stanley for Stifel, Nicolaus & Co. [read post]
21 Mar 2022, 6:35 am
The White Law Group announces the filing of a FINRA Lawsuit against Stifel, Nicolaus & Company, Inc. [read post]
10 Mar 2022, 2:00 am
Continue Reading › The post FINRA Suspends Ex-Stifel Nicolaus Broker Andrew Elsoffer for Two Years appeared first on Investor Lawyers Blog. [read post]
1 Mar 2022, 9:45 am
The post Andrew Elsoffer, Former Stifel Nicolaus Broker, Reportedly Suspended for 2 Years appeared first on The White Law Group. [read post]
22 Dec 2021, 6:51 am
” The FINRA sweep previously “also hit Merrill Lynch, which paid the lion’s share of the penalties with $11.65 million in fines and restitution, as well as Stifel Nicolaus & Co., Cambridge Investment Research, and Oppenheimer & Co. [read post]
14 Dec 2021, 9:00 am
In addition to the two Wells Fargo divisions, FINRA identified similar supervisory failures in four other firms including Stifel Nicolaus, Oppenheimer, Merrill Lynch and Citigroup. [read post]
21 Jul 2021, 12:49 pm
Citigroup Global Markets, Inc. and Jefferies LLC are also acting as book-running managers for the offering, and Canaccord Genuity LLC, Cowen and Company, LLC, Needham & Company LLC, Stifel, Nicolaus & Company, Incorporated and Loop Capital Markets LLC are acting as co-managers for the offering. [read post]
12 Jul 2021, 2:48 pm
If you suffered losses investing with Christopher Orlando and Stifel Nicolaus, the securities attorneys at The White Law Group may be able to help you. [read post]
