Articles Tagged with Stifel Nicholaus

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. The brokerage firm fired Rodemer earlier this year following allegations that he took funds from one client’s account without authorization.

Even with COVID-19 disrupting every aspect of our lives, the self-regulatory organization (SRO) continues to issue disciplinary actions against brokers accused of misconduct. Here, at Shepherd Smith Edwards and Kantas (SSEK Law Firm), our broker fraud attorneys also remain hard at work going after the stockbrokers and their firms whose fraudulent or negligent actions contributed to unnecessary investor losses.