Search for: "Stifel, Nicolaus "
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28 May 2020, 12:52 pm
The post Stifel Nicolaus & Co. [read post]
27 May 2020, 6:13 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Rodemer was terminated by his prior employer, Stifel, Nicolaus & Company, Incorporated (Stifel, Nicolaus) concerning his theft and misappropriation of client funds. [read post]
26 May 2020, 2:08 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5240/securities-industry-commentator/FINRA Arbitration Has More In and Out Than A Porn Film (BrokeAndBroker.com Blog)FINRA Sanctions Stifel, Nicolaus & Co., Inc. [read post]
26 May 2020, 2:08 am
FINRA Arbitration Has More In and Out Than A Porn Film (BrokeAndBroker.com Blog)FINRA Sanctions Stifel, Nicolaus & Co., Inc. [read post]
21 Apr 2020, 11:58 am
A FINRA arbitration panel has ordered Stifel, Nicolaus & Co. and one of their financial advisors to pay a client $800,000.oo for her claim of “being hoodwinked about allowing money to be withdrawn from accounts she held with her estranged husband. [read post]
9 Apr 2020, 5:57 am
FINRA Bars Fired Stifel Broker The Financial Industry Regulatory Authority (FINRA) announced that it has permanently barred former Stifel Nicolaus (SF) stockbroker Steven Dale Rodemer. [read post]
31 Mar 2020, 6:02 am
Donald Padilla National Securities Corporation Kestra Investment Services, LLC Thomas Polston Stifel, Nicolaus & Company, Incorporated Advest, Inc. [read post]
4 Mar 2020, 12:02 pm
Blumberg was registered with Stifel during the time of the events, located in the downtown Baltimore office of Stifel, Nicolaus & Company, Incorporated. [read post]
26 Feb 2020, 8:24 am
According to FINRA BrokerCheck, Lisowski has been affiliated with Stifel Nicolaus in Pittsburgh, PA since 2007. [read post]
19 Dec 2019, 1:49 pm
Since June 2015 Davidman has been registered with Stifel Nicolaus out of the firm’s Los Angeles, California office location. [read post]
14 Nov 2019, 6:32 am
Keener reportedly has 3 regulatory disclosures, one alleged employment separation in 2008 from Stifel Nicolaus for allegations of unauthorized trades and 5 alleged customer complaints, according to his broker report. [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]
18 Oct 2019, 7:17 am
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Lawrence Delhagen (Delhagen), currently employed by Stifel, Nicolaus & Company, Incorporated (Stifel Nicolaus) has been subject to at least four customer complaints during the course of his career. [read post]
10 Oct 2019, 9:30 am
Blumberg & Stifel Nicolaus, the securities attorneys at The White Law Group may be able to help you. [read post]
8 Oct 2019, 1:02 pm
Blumberg was registered with Stifel during the time of the events, located in the downtown Baltimore office of Stifel, Nicolaus & Company, Incorporated. [read post]
27 Sep 2019, 12:02 pm
On September 16, 2019 the Securities and Exchange Commission (“SEC”) announced that Stifel, Nicolaus & Co. [read post]
17 Sep 2019, 10:18 am
Stifel, Nicolaus & Co., Inc. has reportedly agreed to pay $2.7 million and BMO Capital Markets Corp. has reportedly agreed to pay $1.95 million to settle charges. [read post]
16 Sep 2019, 12:20 pm
The Securities and Exchange Commission today announced that Stifel, Nicolaus & Co., Inc. has agreed to pay $2.7 million and BMO Capital Markets Corp. has agreed to pay $1.95 million to settle charges for providing incomplete and inaccurate…Read the Full Press Release--- Visit the Securities Lawyer website. [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 for mutual fund fee… [read post]
