Stifel Nicolaus Investigation May 2023- Taunton, MA According to publicly available records, Stifel Nicolaus & Co. has been fined $2.5 million by Massachusetts securities regulator William Galvin for ignoring a…
read moreRobert Turner Investigation March 2023- Waco, Texas According to publicly available records Robert Earl Turner, Jr. , (CRD# 2113736 ), a stockbroker who formerly worked with UBS Financial Services, Inc. discloses 7…
read moreJoel Kichline Investigation April 2022- Frontenac, MO According to publicly available records, Joel Kichline, a currently unregistered broker who was previously employed with Stifel, Nicolaus & Company in Frontenac, MO.…
read moreMark Kregor Investigation March 2022- Louisville, KY The FINRA records of Mark F. Kregor, a broker with Stifel, Nicolaus & Company who formerly worked for Robert W. Baird, disclose a regulatory…
read moreMichael Fahsholtz Investigation February 2022- Wenatchee, WA According to publicly available records, Michael A. Fahsholtz , an unregistered broker who was previously with Stifel, Nicolaus & Company, discloses 9 final customer…
read moreKurt Gunter Investigation November 2021-Bee Cave, Texas Gunter Sanctioned by FINRA According to his FINRA record Kurt Jason Gunter a financial advisor who was last employed as a registered broker…
read moreJuly 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…
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