Search for: "Stifel, Nicolaus & Company, Incorporated"
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1 Jun 2018, 11:35 am
James was last employed with Stifel, Nicolaus & Company, Incorporated (CRD#:793) Of Golden Valley, MN. [read post]
4 May 2018, 7:19 am
Palm Beach, Florida-based Gary Edward Adkin (CRD# 3084484) is currently registered as a broker and investment advisor employed by Stifel, Nicolaus & Company, Incorporated (CRD# 793.) [read post]
27 Dec 2017, 7:36 am
James Cox has over twenty years in the securities industry and was most recently registered with Stifel Nicolaus & Company since July 2015. [read post]
9 Dec 2017, 12:27 pm
In June 2016 Devlin was discharged from Stifel, Nicolaus & Company, Incorporated (Stifel, Nicolaus) on allegations of unauthorized trading. [read post]
7 Dec 2017, 5:31 am
According to BrokerCheck records financial advisor Martin Stevens (Stevens), currently associated with Stifel, Nicolaus & Company, Incorporated (Stifel Nicolause), has been subject to seven customer complaints. [read post]
6 Mar 2017, 2:43 am
Alas, the promise may remain but the implementation and monitoring of this fee approach hasn't always lived up to expectations, as evidenced in a recent Securities and Exchange Commission ("SEC") regulatory settlement involving venerable Stifel, Nicolaus & Company, Incorporated, which has been registered with the SEC since 1936 and offers retail and institutional brokerage, and investment banking services. [read post]
20 Jan 2017, 10:17 am
Our firm is investigating claims made by Stifel, Nicolaus & Company, Incorporated (Stifel Nicolaus) when the firm terminated broker Jon Schmidhammer (Schmidhammer). [read post]
5 Dec 2016, 6:26 am
From July 2007 through November 2009 Deemer was associated with Stifel, Nicolaus & Company, Incorporated. [read post]
19 Oct 2016, 7:26 am
From October 2004 through February 2016 Obryant was registered with Stifel, Nicolaus & Company, Incorporated. [read post]
4 Apr 2016, 10:29 am
From August 2008 until December 2012, Shaw was associated with Stifel, Nicolaus & Company, Incorporated. [read post]
15 Sep 2015, 6:30 am
From March 2006, until January 2014, Hornyak was associated with Stifel, Nicolaus & Company, Incorporated. [read post]
10 Sep 2015, 9:39 am
Currently, Frechter is associated with Stifel, Nicolaus & Company, Incorporated. [read post]
8 Sep 2015, 8:07 am
Malecki Law has written about these products in the past, noting that broker-dealer firms such as Stifel, Nicolaus & Co., Inc. and Century Securities Associates Inc. [read post]
1 Sep 2015, 7:35 am
Since August 2014, Powell has been associated with Stifel, Nicolaus & Company, Incorporated (Stifel Nicolaus). [read post]
12 Aug 2015, 9:08 am
– $80,000 Stifel, Nicolaus & Company, Inc. [read post]
3 Mar 2015, 7:18 am
Both actions arose from a take-private transaction involving Dole Food Company, Inc.The defendants identified Stifel, Nicolaus & Company, Incorporated (Stifel), as their “expert witness” on the subject of Dole’s valuation and served an opening expert report that identified the corporation as its author. [read post]
15 Nov 2014, 12:01 pm
From the Desk of Jim Eccleston at Eccleston Law Offices: FINRA has barred a former broker from Stifel, Nicolaus & Company, Incorporated, Robert Head, of unauthorized trading for his client. [read post]
23 Jun 2014, 7:08 am
Here are the materials so far in Stifel, Nicolaus & Company, Incorporated v. [read post]
30 Apr 2014, 6:45 am
Coolidge (Coolidge) of Stifel, Nicolaus & Company, Incorporated (Stifel Nicolaus) concerning allegations that Coolidge effected trades in the accounts of three customers without obtaining prior written authorization from the customers and without the accounts being discretionary accounts. [read post]
12 Feb 2014, 5:45 am
The Financial Industry Regulatory Authority (FINRA) ordered brokerage firms Stifel, Nicolaus & Company, Incorporated (Stifel Nicolaus) and Century Securities Associates, Inc. [read post]
