Tag Archives: Nolan Dudley Baird

Stifel Nicolaus Broker Fined For Unauthorized Trading

December 15, 2017  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

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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