Search for: "Stifel, Nicolaus "
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4 May 2018, 7:19 am
In addition to his current registration with Stifel, Nicolaus & Company, he is also currently registered with Barclay’s Capital since 9/2008. [read post]
13 Aug 2008, 4:39 pm
(NYSE: SF) and Stifel, Nicolaus & Company, Inc. between June 11, 2003 and Feb. 13, 2008 and who continued to hold the securities as of Feb. 13, 2008. [read post]
3 Aug 2009, 1:15 pm
The Financial Industry Regulatory Authority has permanently barred a former Stifel, Nicolaus & Co. [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]
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]
18 Apr 2011, 8:18 am
The article discusses the recent decision by an arbitration panel which ordered Stifel, Nicolaus & Co to pay Well Fargo Advisors $167,000 for improperty recruiting former AG Edwards financial advisors. [read post]
13 Jul 2018, 5:39 am
Mitchell Yanow – Stifel Nicolaus & Co. [read post]
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]
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]
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]
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]
31 Aug 2007, 10:06 am
There is a connection, if an analyst at Stifel Nicolaus is to be believed. [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]
15 Dec 2020, 10:51 am
Miller Stern Lawyers – 410-Law-Firm is currently investigating clients of Stifel Nicolaus and all firms and broker dealers who may be victims of, and suffered damages and losses, due to abuses such as short-term trading of unit investment trusts, breach of fiduciary duty, overcharging , and unauthorized trading. [read post]
13 Nov 2009, 4:19 pm
Stifel Nicolaus has retained support staff and 495 financial advisers in the branches. [read post]
1 Jul 2021, 6:40 am
If you suffered losses investing with Alex Perry and Stifel Nicolaus, the securities attorneys at The White Law Group may be able to help you. [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
Two sources tell Ars off the record that the Stifel Nicolaus note was too strong; no agreement has yet been reached, and the parties haven't met for more than a week. [read post]
12 Jan 2009, 5:43 am
The Kenosha, Wisconsin School Board has sued brokerage firm Stifel Nicolaus, Royal Bank of Scotland and others for alleged fraud and negligence in connection with the sale of synthetic Collateralized Debt Obligations, or CDOs to the board. [read post]
