FINRA Fines Stifel, Nicolaus & Co. $30,000

FINRA Fines Stifel, Nicolaus & Co. $30,000 150 150 Rex Securities Law


In June 2014, the Financial Industry Regulatory Authority (FINRA) fined Stifel, Nicolaus & Company $30,000 and ordered the company to pay resitution to customers of over $16,000. In addition the company is required to revise its written supervisory procedures to resolve FINRA findings that they sold bonds to customers at unfair prices.
If you have suffered losses due to the fraud or negligence of a stock broker or brokerage firm, you may be able to recover those losses through FINRA arbitration.

Rex Securities Law , located in Boca Raton, FL, provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Rex Securities Law

561 391 1900

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