Tag Archives: David Wilson Flemming Jr.

Stifel Nicolaus Stockbroker Terminated For Customer Loans

October 05, 2017  |   Posted by :   |   Customer Loans   |   0 Comments

David Wilson Flemming Jr., of White Plains, New York, a stockbroker formerly registered with Stifel, Nicolaus & Company, Incorporated, was fired from employment on July 5, 2017, founded upon accusations that he entered into an unauthorized loan arrangement with a firm customer. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Flemming has been identified […]

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