Tag Archives: Kurt Jason Gunter

FINRA Sanctions Stifel Stockbroker For Churning Unit Investment Trusts

November 30, 2020  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News, Unit Investment Trusts (UITs)   |   Comments Off on FINRA Sanctions Stifel Stockbroker For Churning Unit Investment Trusts

Kurt Jason Gunter of Austin Texas a stockbroker formerly registered with Stifel Nicolaus Company Incorporated has been fined $10,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that he made recommendations that were not suitable for Stifel Nicolaus customers as it pertained to unit investment […]

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