Tag Archives: David Wilson Fleming II

Stifel Nicolaus Stockbroker Barred For Failure To Pay Arbitration Award

September 14, 2020  |   Posted by :   |   Breach of Fiduciary Duty, Securities Arbitration Claims   |   Comments Off on Stifel Nicolaus Stockbroker Barred For Failure To Pay Arbitration Award

David Wilson Fleming II of White Plains New York a stockbroker formerly registered with Stifel Nicolaus has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by accusations that he neglected to confirm with FINRA whether he paid $401,000.00 in compensatory damages plus interest to a customer as […]

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