stifel nicolaus lawsuit Archives

Rex Securities Law
May 8, 2023
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 8, 2023 May 8, 2023

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…

ER
March 5, 2023
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 5, 2023 May 3, 2023

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…

ER
April 5, 2022
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 5, 2022 April 5, 2022

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.…

ER
April 1, 2022
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 1, 2022 April 1, 2022

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…

Rex Securities Law
November 16, 2021
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Kurt Gunter Discloses Sanctions by Texas Securities Regulator & FINRA -Austin,TX

Kurt Gunter Discloses Sanctions by Texas Securities Regulator & FINRA -Austin,TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 16, 2021 November 16, 2021

Kurt 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…

Rex Securities Law
April 19, 2017
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Stifel Nicolaus Ordered to Pay Elderly Couple For Puerto Rico Bond Losses

Stifel Nicolaus Ordered to Pay Elderly Couple For Puerto Rico Bond Losses https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 19, 2017 April 19, 2017

Over 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…

Rex Securities Law
November 23, 2016
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Donald L. Watson-Former Jeffrey Matthews Broker- Discloses Discharge from Employment

Donald L. Watson-Former Jeffrey Matthews Broker- Discloses Discharge from Employment https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 23, 2016 April 17, 2018

UPDATE 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…

Rex Securities Law
December 24, 2014
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Stifel Nicolaus Sanctioned by Securities Regulator

Stifel Nicolaus Sanctioned by Securities Regulator https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g December 24, 2014 May 23, 2016

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…

Rex Securities Law
November 17, 2014
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Stifel Nicolaus Hit With $300,000 Fine by Securities Regulators

Stifel Nicolaus Hit With $300,000 Fine by Securities Regulators https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 17, 2014 November 17, 2014

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…