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Stifel Nicolaus & Co.

Robert Kyle Ratcliff-Stifel,Nicolaus Broker-Discloses Customer Arbitration-Denton, TX

Robert Kyle Ratcliff-Stifel,Nicolaus Broker-Discloses Customer Arbitration-Denton, TX 150 150 Rex Securities Law

Denton, 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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Senator Elizabeth Warren Criticizes Wall Street For Inadequately Policing Stock Brokers

Senator Elizabeth Warren Criticizes Wall Street For Inadequately Policing Stock Brokers 150 150 Rex Securities Law

March 3, 2016-Washington, DC The Investment News reported that Massachusetts Senator Elizabeth Warren raised doubts during a Senate banking subcommittee hearing about whether FINRA can adequately police itself. Wa During…

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Former Wells Fargo Advisor Broker Sanctioned for Unauthorized Trading in Customer Account

Former Wells Fargo Advisor Broker Sanctioned for Unauthorized Trading in Customer Account 150 150 Rex Securities Law

June 22, 2015 Tyler Powell  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he  exercised discretion in a…

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Losses on Cushing Royalty & Income Fund ??

Losses on Cushing Royalty & Income Fund ?? 150 150 Rex Securities Law

June 15,2015, Cushing & Royalty Income Fund (SRF) which traded at $25 in February 2012 currently trades at less than $5. It is a leveraged fund which invests in oil…

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Kevin Luby, Former Stifel Nicolaus/LPL Financial Broker Sanctioned by Securities Regulator

Kevin Luby, Former Stifel Nicolaus/LPL Financial Broker Sanctioned by Securities Regulator 150 150 Rex Securities Law

January 15, 2015-Daytona Beach, Florida Kevin Luby  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to disclose to his…

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Stifel Nicolaus Sanctioned by Securities Regulator

Stifel Nicolaus Sanctioned by Securities Regulator 150 150 Rex Securities Law

December 23,2014 Stifel, Nicolaus & Company  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that the firm had several violations related…

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Top Ten Securities Regulatory Fines for 2014

Top Ten Securities Regulatory Fines for 2014 150 150 Rex Securities Law

December 23 2014 The Investment News announced Ten of the Biggest Regulatory Fines of 2014: 10-WFG Investments – $700,000 for failure to supervise brokers. 9-Berthel Fisher & Co. Financial Services–…

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Stifel Nicolaus Hit With $300,000 Fine by Securities Regulators

Stifel Nicolaus Hit With $300,000 Fine by Securities Regulators 150 150 Rex Securities Law

The Financial Industry Regulatory Authority (FINRA) censured Stifel  Nicolaus & Company and assessed a $300,000 fine to resolve allegations that the firm failed to establish an adequate Anti Money Laundering…

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Former Stifel Nicolaus Broker Sanctioned by FINRA for Outside Business Activity

Former Stifel Nicolaus Broker Sanctioned by FINRA for Outside Business Activity 150 150 Rex Securities Law

November 14, 2014-  Donald Bratten, who was registered with Stifel Nicolaus from 1/2013-8/2013, was suspended from association with any FINRA member for four months and assessed a $10,000 fine to…

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