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Stifel Nicolaus & Co.

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Gregory Sain – Former Stifel Nicolaus Broker- Discloses Prior Customer Settlements – Beverly Hills, CA
Gregory Sain – Former Stifel Nicolaus Broker- Discloses Prior Customer Settlements – Beverly Hills, CA 150 150 ER

Gregory Sain Investigation June 2023 – Beverly Hills, CA According to publicly available records  Gregory Sain ,  a broker  who was previously registered with Stifel Nicolaus and is now with Morgan…

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David J. Morris- Former Stifel, Nicolaus & Company Broker-Barred From Securities Industry by Regulators & Subject of Customer Suit -Chicago, IL
David J. Morris- Former Stifel, Nicolaus & Company Broker-Barred From Securities Industry by Regulators & Subject of Customer Suit -Chicago, IL 150 150 ER

David Jeffrey Morris Investigation June 2023-Chicago, IL According to publicly available records David Jeffrey Morris a former broker who last worked for Stifel, Nicolas & Company,  discloses a final regulatory matter…

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John “JC” Carroll- Former Vanderbilt Securities Broker-Suspended Indefinitely From Securities Industry by Regulators -Juno Beach, FL
John “JC” Carroll- Former Vanderbilt Securities Broker-Suspended Indefinitely From Securities Industry by Regulators -Juno Beach, FL 150 150 ER

John “JC” Carroll Investigation June  2023-Juno Beach, FL According to publicly available records John Carroll IV a former broker who previously was employed by  Vanderbilt Securities,  discloses a final regulatory matter…

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Stifel Nicolaus & Co. Fined $2.5 Million For Allowing Broker to Make Unauthorized Trades
Stifel Nicolaus & Co. Fined $2.5 Million For Allowing Broker to Make Unauthorized Trades 150 150 Rex Securities Law

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…

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Robert Turner-Former UBS Financial Broker-Discloses over $12 M in Settlements Involving Phony Annuities -Waco, Texas
Robert Turner-Former UBS Financial Broker-Discloses over $12 M in Settlements Involving Phony Annuities -Waco, Texas 150 150 ER

Robert 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…

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Joel Kichline- Former Stifel, Nicolaus Broker- Discloses 2 Regulatory Events, a Customer Dispute and 2 Terminations -Frontenac, MO
Joel Kichline- Former Stifel, Nicolaus Broker- Discloses 2 Regulatory Events, a Customer Dispute and 2 Terminations -Frontenac, MO 150 150 ER

Joel 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.…

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Mark Kregor-Former Robert W. Baird Broker-Discloses Regulatory Sanctions, Prior Customer Disputes and a Termination -Louisville, KY
Mark Kregor-Former Robert W. Baird Broker-Discloses Regulatory Sanctions, Prior Customer Disputes and a Termination -Louisville, KY 150 150 ER

Mark 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…

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Michael Fahsholtz- Former Stifel, Nicolaus Broker- Discloses 9 Final Customer Disputes – Wenatchee, WA
Michael Fahsholtz- Former Stifel, Nicolaus Broker- Discloses 9 Final Customer Disputes – Wenatchee, WA 150 150 ER

Michael 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…

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