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Stifel Nicolaus Stockbroker Sanctioned For Unauthorized Trading

Robert W. Berry, of Fairlawn, Ohio, a stockbroker currently registered with Stifel, Nicolaus & Company, Inc., has been fined and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that effected unauthorized trades in customer accounts. Letter of Acceptance, Waiver and Consent, No. 2015046243901 (Mar. 7, […]

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Stifel Nicolaus Stockbroker Sanctioned For Unauthorized Trading

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