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Stifel Nicolaus Broker Suspended for Outside Business Activities

November 25, 2015 | Posted by : Guiliano Law Group | Customer Loans, Failure To Supervise, Investment and Regulatory News | 0 Comments

Christian B. Harkness of Lacrosse, Wisconsin, a registered representative with Stifel, Nicolaus & Company, Inc., was fined $15,000 and suspended for nine months fromChristian B. Harkness associating with any Financial Industry Regulatory Authority (FINRA) member in any and all capacities after consenting to findings that he had engaged in unauthorized borrowing from a customer, engaged […]

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Stifel Nicolaus Broker Suspended for Outside Business Activities

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