Tag Archives: Steven Dale Rodemer

SEC Bars Stifel Nicolaus Stockbroker For Misappropriation

November 04, 2020  |   Posted by :   |   Misappropriation of Funds, Securities Arbitration Claims, Stockbroker Theft   |   Comments Off on SEC Bars Stifel Nicolaus Stockbroker For Misappropriation

Steven Dale Rodemer of Pueblo Colorado a stockbroker formerly registered with Stifel Nicolaus Company Incorporated is the subject of a Securities Exchange Commission (SEC) Administrative Order in which he has been barred from being a stockbroker or investment adviser representative and has been barred from being employed by any securities broker dealer or investment advisory […]

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Stifel Nicolaus Stockbroker Barred In Theft Investigation

April 08, 2020  |   Posted by :   |   Misappropriation of Funds, Stockbroker Theft   |   Comments Off on Stifel Nicolaus Stockbroker Barred In Theft Investigation

Steven Dale Rodemer of Pueblo Colorado a stockbroker formerly registered with Stifel Nicolaus Company Incorporated has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to cooperate with FINRA while he was the subject of an investigation into allegations of his […]

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