Search for: "Stifel, Nicolaus & Company, Inc."
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30 Sep 2013, 7:28 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in September 2012, Claimant DiMercurio asserted failure to supervise; unauthorized trading; and lack of due diligence and/or churning in connection with her contentions that Respondent Stifel, Nicolaus & Company, Inc. had failed to supervise its financial advisor Harrison. [read post]
13 Nov 2009, 4:19 pm
Stifel has been working to turn its business into a full-service investment bank and its subsidiary, Stifel, Nicolaus, & Co., recently completed its buy of 56 UBS Financial Services Inc. branches, which it purchased for at least $46 million. [read post]
8 Jun 2015, 8:13 am
In the United States, Stifel’s broker-dealer clients are currently served through Stifel, Nicolaus & Company, Inc., Keefe Bruyette & Woods, Inc., Miller Buckfire & Co., LLC, and Century Securities Associates, Inc. [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]
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]
28 Jun 2018, 1:00 pm
” His previous employers include Stifel, Nicolaus & Company, Incorporated (CRD #793), also of Dayton, OH; First Union Securities, Inc. [read post]
20 Jul 2018, 7:18 am
Former broker and investment advisor Mitchell Toby Yanow (CRD #2148171) was last employed by Stifel, Nicolaus & Company, Incorporated (CRD #793) of Boca Raton, FL. [read post]
3 Mar 2015, 7:18 am
Inc. [read post]
1 Sep 2023, 6:07 am
Chuck Roberts (CRD# 2064602) is a registered broker and investment advisor currently employed with Stifel, Nicolaus & Company, Incorporated (CRD# 793) of New York, NY. [read post]
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]
14 Sep 2020, 7:14 am
Starting November 2011 to January 2020 Steven Rodemer was registered with Stifel, Nicholaus & Company, Inc as a Securities Representative and worked there for 8 years. [read post]
14 Sep 2020, 7:14 am
Starting November 2011 to January 2020 Steven Rodemer was registered with Stifel, Nicholaus & Company, Inc as a Securities Representative and worked there for 8 years. [read post]
11 Oct 2016, 1:09 pm
According to FINRA BrokerCheck, Gruenebaum was registered with Stifel, Nicolaus & Company In Zainesville OH from 03/2013 – 06/2016. [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]
1 Sep 2015, 7:35 am
Since August 2014, Powell has been associated with Stifel, Nicolaus & Company, Incorporated (Stifel Nicolaus). [read post]
30 Oct 2015, 2:04 pm
– $13.5 million in restitution Stifel Nicolaus & Company, Inc. [read post]
16 Jan 2015, 12:01 pm
No.7: Stifel Nicolaus & Co. and its subsidiary, Century Securities Inc. fined for $1 millionReason for Fine: Selling leveraged and inverse ETFs to customers for whom the investments were unsuitable, and not having proper training or written procedures in place to make sure their advisers had an “adequate and reasonable basis” for recommending the products. [read post]
6 Aug 2007, 4:46 am
” Blair Levin, an analyst at brokerage Stifel, Nicolaus & Co., said competitors such as Microsoft Corp. are trying to take advantage of the edge they have over Google in the nation’s capital. [read post]
6 Mar 2018, 8:13 am
Stifel Nicolaus & Company, Inc. [read post]
5 Jul 2010, 6:27 am
Stifel Nicolaus & Co.), Jesup & Lamont Securities Corp., Jeffries & Company, Inc., Raymond James & Associates, Inc., and Robert W. [read post]
