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Search Results: Stifel
Results 10-20 of about 55
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 ...
Date: September 11, 2018
The Financial Industry Regulatory Authority (FINRA) has barred three former brokers who failed to take part in the self-regulatory authority’s probe into allegations of wrongdoing. ... Hurtak, formerly of Stifel Nicolaus & Co., was a broker for 39 years. According ...
Date: January 2, 2018
The SEC has filed a case accusing broker Brian Hirsch of illegally receiving over $1M in secret kickbacks in return for giving some customers favored access to “lucrative” initial public offerings. ... Meantime, prosecutors in New Jersey have filed a ...
Date: June 7, 2017
Former Stifel, Nicolaus Broker is Accused of Variable Annuity Violations The Financial Industry Regulatory Authority has suspended an ex-Stifel, Nicolaus (SF) broker for four months over variable annuity transactions that he purportedly inappropriately recommended to certain investors. At the time ...
Date: March 17, 2017
A Financial Industry Regulatory Authority (FINRA) panel said that Stifel, Nicolaus & Co. (“Stifel”) must pay June and Perry Burns over $100K for losses they sustained from Puerto Rico bonds and oil and gas investments. The Burns are in their ...
Date: October 15, 2016
Ex-UBS Broker is Accused of Inflating Customer’s Account The Financial Industry Regulatory Authority has barred Jeffrey Hamilton Howell from the broker-dealer industry. The former broker is accused of giving a customer bogus weekly account statements that overvalued an account by ...
Date: April 20, 2016
Linn Energy (LINE) says that its unit holders have until April 25 to exchange their units for LinnCo shares. According to SeekingAlpha.com, the Texas-based company is making the deal to avoid CODI (cancellation of debt income). As it stands, Linn ...
Date: April 14, 2016
The Financial Industry Regulatory Authority has announced that PNC Investments will pay nearly $225K in restitution for charging retirement clients too much for mutual fund investments. According to the regulator, the brokerage firm did not apply waivers for investors in ...
