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Stifel Nicolaus Stockbroker Suspended For Unauthorized Trading

David Richard Shapiro, of New York, New York, a stockbroker currently registered with Stifel, Nicolaus & Company, Incorporated, has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that he effected unauthorized trades in a customer account. Letter of Acceptance, Waiver and […]

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Stifel Nicolaus Stockbroker Suspended For Unauthorized Trading

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