Tag Archives: Donald Lee Stark

Stifel Nicolaus Stockbroker Sanctioned For Unauthorized Trading

July 03, 2017  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Donald Lee Stark, of Waterloo, Iowa, 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 based upon consenting to findings that he effected trades in a customer’s account without the customer’s consent. Letter of Acceptance, […]

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