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Stifel Nicolaus Broker Fined For Unauthorized Trading

Nolan Dudley Baird, Jr., of Augusta, Georgia, a stockbroker registered with Stifel, Nicolaus & Company, Incorporated, has been fined $7,500.00 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 customer accounts without authorization. Letter of Acceptance, Waiver and Consent, […]

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Stifel Nicolaus Broker Fined For Unauthorized Trading

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