Search for: "Stifel, Nicolaus & Company, Incorporated"
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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]
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]
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]
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]
1 Sep 2010, 7:25 am
Earlier this week, a research note from analysts at Stifel Nicolaus suggested that a group of private companies had reached "general agreement" on a private network neutrality agreement after FCC-brokered industry talks failed to reach consensus. [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]
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]
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
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]
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]
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]
15 Sep 2015, 6:30 am
From March 2006, until January 2014, Hornyak was associated with Stifel, Nicolaus & Company, Incorporated. [read post]
24 Mar 2021, 5:18 am
Have you made a previous investment with Fahsholtz, Stifel Nicolaus & Company, Incorporated? [read post]
24 Mar 2021, 5:18 am
Have you made a previous investment with Fahsholtz, Stifel Nicolaus & Company, Incorporated? [read post]
13 Jul 2018, 7:17 am
James entered the securities industry in 2003 and was most recently registered with Stifel, Nicolaus & Company, Incorporated from March 2016 to September 2016. [read post]
1 Sep 2015, 7:35 am
Since August 2014, Powell has been associated with Stifel, Nicolaus & Company, Incorporated (Stifel Nicolaus). [read post]
21 Jun 2018, 12:36 pm
His only prior dispute was filed on August 12, 2013, while working for Stifel, Nicolaus & Company, Incorporated (CRD #793). [read post]
1 Sep 2009, 4:50 pm
Prior to the bankruptcy filing, Cynergy marketed its assets with the assistance of Stifel, Nicolaus & Company, Incorporated, Peter J. [read post]
19 Oct 2016, 7:26 am
From October 2004 through February 2016 Obryant was registered with Stifel, Nicolaus & Company, Incorporated. [read post]
