Andrew Bruce Elsoffer of Pepper Pike, Ohio, a stockbroker formerly registered with Stifel Nicolaus Company Incorporated, has been fined $15,000.00 and suspended for two years from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he engaged in unauthorized trading, loaned funds to a Stifel Nicolaus customer, and…
Andrew Bruce Elsoffer of Pepper Pike Ohio a stockbroker formerly registered with Stifel Nicolaus Company is the subject of a customer initiated investment related arbitration claim in which the customer sought $250,000.00 in damages based upon accusations that a fiduciary duty that was owed to the customer had been breached by the stockbroker and that…
Andrew Bruce Elsoffer of Pepper Pike Ohio a stockbroker formerly registered with Stifel Nicolaus Company Inc. has been discharged by the securities broker dealer on October 16, 2018 based upon accusations that Elsoffer failed to comply with rules or procedures regarding the handling of customer funds and (2) Stifel Nicolaus lost confidence in Elsoffer because…
Andrew Bruce Elsoffer, of Pepper Pike, Ohio, a stockbroker currently registered with Stifel, Nicolaus & Company, Inc., is the subject of a customer initiated investment related arbitration claim, which settled on October 27, 2016, for $165,000.00 in damages supported by allegations of negligence, breach of contract, elder abuse, elder exploitation, breach of fiduciary duty, suitability,…