Tag Archives: David Richard Shapiro

Stifel Nicolaus Stockbroker Suspended For Unauthorized Trading

December 17, 2016  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

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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