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Stifel Nicolaus Stockbroker Fined For Mismarking Trades

Kevin Stephen Fitzpatrick of Geneva Illinois a stockbroker formerly registered with Stifel Nicolaus Co. Inc. 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 mischaracterized customers’ trades and mismarked trades as unsolicited. Letter of Acceptance Waiver and Consent […]

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Stifel Nicolaus Stockbroker Fined For Mismarking Trades

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