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Search Results: Stifel
Results 1-10 of about 52
Date: October 16, 2024
Stifel Nicolaus Ordered To More Than $14M in Damages, Including $9M in Punitive Damages, Over Structured Note Losses Claimants Are Former Clients of Stifel Stockbroker Chuck Roberts A Financial Industry Regulatory Authority ( FINRA ) arbitration panel has ordered Stifel, ...
Date: September 5, 2024
Are You An Investor Who Suffered Losses While Working With Stifel, Nicolaus & Co. ... There Is Still Time To Explore Your Legal Options. Contact Our Structured Note Lawyers Shepherd Smith Edwards and Kantas ( investorlawyers.com ) are continuing to ...
Date: July 23, 2024
Ex-Customers of Stifel, Nicolaus Broker Chuck Roberts Are Suing For $41.2M. Contact Our Structured Product Loss Attorneys To Explore Your Legal Options Shepherd Smith Edwards and Kantas ( investorlawyers.com) Structured Product Loss Attorneys are continuing to speak with investors who ...
Date: February 1, 2024
INVESTOR ALERT: Clients of Stifel Nicolaus Financial Advisor Chuck Roberts File $38,100,000 In Broker Fraud Lawsuits. SSEK Structured Product Loss Attorneys Represents Structured Product Investors in Pursuing Damages More than one year, after our investment loss recovery lawyers began investigating ...
Date: August 8, 2023
Shepherd Smith Edwards and Kantas Structured Product Loss Attorneys Investigates Stifel Nicolaus Broker Chuck Roberts Over Structured Note Sales Customers of Miami Beach Financial Advisor File $23.5M in Investor Loss Lawsuits Our seasoned broker fraud attorneys are looking into claims ...
Date: May 15, 2023
Did You Work With Ex-Stifel Nicolaus Broker Joseph Crespi and Suffer Investment Losses? As Broker-Dealer Is Ordered to Pay $3.2M, Investors Struggle To Recoup Their Money Our broker dealer negligence lawyers are speaking to former customers of ex-financial advisor Joseph ...
Date: May 24, 2022
Ex-UBS Financial Services Broker Robert Turner Investigated For Stealing Clients’ Money Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyers.com) is looking into claims of losses involving former UBS Financial Services broker Robert Earl Turner. ... He spent 25 ...
Date: March 9, 2022
Ohio Financial Advisor Andrew Elsoffer Named in Multiple Customer Disputes Andrew Bruce Elsoffer, who Stifel, Nicolaus & Co. fired in 2018, is suspended by the Financial Industry Regulatory Authority (FINRA) for two years, beginning March 7, 2022. The suspension comes ...
Date: April 9, 2020
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 ...
Date: October 11, 2019
Four Stifel, Nicolaus & Co. (SF) clients were awarded $1.5M in compensatory damages in their Financial Industry Regulatory Authority (FINRA) arbitration case against the brokerage firm. According to AdvisorHub , the claimants are accusing the broker-dealer of not properly supervising ...
