Search for: "Stifel, Nicolaus "
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17 May 2019, 12:43 pm
Weller and his company had an arrangement since 2009 with Missouri-based broker-dealer Stifel, Nicolaus & Company. [read post]
7 May 2019, 10:36 am
Both Devlin and Blumberg were registered with Stifel during the time of the events, located in the downtown Baltimore office of Stifel, Nicolaus & Company, Incorporated, before being terminated for, among other things, the issues complained of in this arbitration. [read post]
19 Mar 2019, 11:18 am
First Citizens Investor Services Woodbury Financial Services Popular Securities Questar Asset Management Infinex Investments Stifel, Nicolaus & Co. [read post]
12 Mar 2019, 2:23 pm
He was previously a registered broker with Wells Fargo (WFC), Stifel Nicolaus & Company (SF), First Union, and other firms. [read post]
11 Mar 2019, 2:17 pm
Based on his broker history, he would have been registered with Wells Fargo and Stifel, Nicolaus during the alleged investor fraud. [read post]
5 Mar 2019, 12:47 pm
Prior to that, he worked for Stifel, Nicolaus & Company from 2002 to 2006, according to his FINRA BrokerCheck report. [read post]
6 Feb 2019, 7:04 am
Advisor Ghazaleh Ebrahimi (Ebrahimi), currently employed by Stifel, Nicolaus & Company, Incorporated (Stifel, Nicolaus) has been subject to at least four customer complaints. [read post]
23 Jan 2019, 1:25 pm
Patrick McLaughlin has worked with Stifel, Nicolaus & Company, Inc. in Boca Raton, Florida since November 21, 2008, FINRA notes. [read post]
19 Jan 2019, 11:41 am
John Schmidt was registered with Wells Fargo in Dayton, Ohio from December 2006 until October 2017, and also worked with Stifel Nicolaus in Dayotn, from May 2002 to December 2006, FINRA notes. [read post]
12 Jan 2019, 6:06 am
According to BrokerCheck records financial advisor Lynn Faust (Faust), currently employed by Stifel, Nicolaus & Company, Inc. [read post]
3 Jan 2019, 11:33 am
Before Wells Fargo, Schmidt was registered with Stifel, Nicolaus, & Co. [read post]
27 Dec 2018, 8:45 am
Fines Stifel Nicolaus & Co $300K appeared first on White Securities Law. [read post]
24 Oct 2018, 6:19 pm
Stifel Nicolaus & Co. [read post]
24 Oct 2018, 8:37 am
The post Andrew Elsoffer Oil and Gas Recommendations While With Stifel Nicolaus? [read post]
28 Sep 2018, 3:00 am
The Order in the SEC’s Citibank Dark Pool Case (PDF) The SEC Order for the Whistleblower Award (PDF) Ex-Bankrate CFO Gets 10 Years In Prison For $25M Fraud, Law360 More Blog Posts:TD Ameritrade Fined $500K For Not Reporting Investment Advisers’ Suspect Activities, Investor Lawyers, September 26, 2018 SEC Issues $55.5M in Whistleblower Awards, September 18, 2018 FINRA Bars Former JP Morgan, Stifel Nicolaus, and Benjamin & Jerold Brokers, September 11, 2018 The post… [read post]
18 Sep 2018, 6:19 am
The SEC Order in the $1.5M Whistleblower Award (PDF) The SEC Order Granting Two Whistleblowers Over $54M (PDF) CFTC Announces Multiple Whistleblower Awards Totaling More than $45 Million, CFTC, August 2, 2018 More Blog Posts from SSEK Law Firm: Another Texas-Based Wells Fargo Broker is Barred by FINRA, September 12, 2018 FINRA Bars Former JP Morgan, Stifel Nicolaus, and Benjamin & Jerold Brokers, September 11, 2018 Transamerica Entities to Pay $97M to Investors Over Flawed… [read post]
12 Sep 2018, 7:44 am
Hurtak, formerly of Stifel Nicolaus & Co., was a broker for 39 years. [read post]
12 Sep 2018, 7:24 am
Edward Daniel, BrokerCheck More Blog Posts: Dallas, Texas-Based Wells Fargo Broker Expelled by FINRA, August 30, 2018 Investors in UDF IV REIT Want Texas Federal Judge to Approve $13.5M Ponzi Fraud Settlement, August 29, 2018 FINRA Bars Former JP Morgan, Stifel Nicolaus, and Benjamin & Jerold Brokers, September 12, 2018 The post Another Texas-Based Wells Fargo Broker is Barred by FINRA appeared first on Securities Fraud Attorney. [read post]
5 Sep 2018, 11:32 am
Stifel, Nicolaus & Co. [read post]
21 Aug 2018, 1:21 pm
Broker Robert Cleary (CRD #1505792) is a currently registered broker with Stifel, Nicolaus & Company, Incorporated (CRD #793) of New York, NY, since 2007. [read post]
