July 2021- Hackensack , NJ According to publicly available records, Scott Fergang, a financial advisor who previously was employed by RBC Capital and who now works for Stifel, Nicolaus , discloses…
read moreNovember 2020- New Orleans, LA According to publicly available records, a Stifel, Nicolaus & Company broker William Geary Mason discloses a pending customer dispute and a termination. The Financial Industry…
read moreNovember 2020- Clearwater, FL According to publicly available records Jason Dukas (CRD#4188239), a stockbroker with Stifel, Nicolaus & Company, discloses a regulatory event and a termination from employment. The Financial…
read moreApril 2019- Boca Raton, FL The FINRA records of Mitchell Toby Yanow , a former stock broker disclose that he was recently barred from the securities industry by FINRA, discharged by Stifel,…
read moreOver the past few years St. Louis based Stifel Nicolaus & Co. has faced a number of problem with regulators as well as actions filed by disgruntled customers, including: In…
read moreDecember 2016- Longview, Texas The Texas State Securities Board (TSSB) sanctioned Bruce Russell Clark (CRD# 2848753) of Longview, Texas, reprimanding him and assessing an administrative fine of $5,000. According to the TSSB…
read moreDecember 2016-Georgetown, Texas The FINRA records of Michael Ramon Delao, a stockbroker with St. Bernard Financial Services , disclose a recently regulatory event , a prior customer dispute and 2 terminations. The Financial Industry Regulatory…
read moreUPDATE April 2018– IN 3/2017 FINRA permanently barred Donald Lee Watson, Jr. from the securities industry for refusing to cooperate with a FINRA investigation. November 2016-Sarasota, FL The FINRA records of Donald…
read moreDenton, Texas UPDATE JULY 2017–FINRA records disclose that arbitration 15-3427, discussed below, was settled 2/2017 for $117,477. August 2016-ORIGINAL POST The FINRA records of Robert Kyle Ratcliff , a stock broker who is currently employed…
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