Tag Archives: David Todd II

Stifel Nicolaus Stockbroker Suspended For Lying

May 30, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

David Todd II, of Kent, Ohio, a stockbroker formerly registered with Stifel, Nicolaus & Company, Inc., has been fined $15,000.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Todd, inter alia, made misleading statements to customers in the course […]

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