Tag Archives: Stifel Nicolaus & Co.

Stifel Nicolaus Accused Of Unauthorized Trading

Thomas Lee Sickler of Denver Colorado a stockbroker currently registered with Stifel Nicolaus Company Incorporated is the subject of a customer initiated investment related written complaint on July 19, 2018 where the customer requested $45,084.00 in damages supported by accusations that (1) unauthorized trades were executed in the customer’s account and (2) the customer’s investment […]

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Stifel Nicolaus Broker Barred In Investigation

Stephen Hurtuk of Boardman Ohio a stockbroker formerly registered with Stifel Nicolaus Company 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 in a FINRA investigation into allegations of his unsuitable investment recommendations to customers. Letter of Acceptance […]

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FINRA Arbitration Lawyers Sue Stifel Nicolaus Company For Unauthorized Trading

Todd Michael Niedermeyer of San Francisco California a stockbroker currently employed by Stifel Nicolaus Company Incorporated is the subject of a customer initiated investment related written complaint on February 22, 2018 in which the customer requested damages estimated to exceed $5,000.00 based upon accusations that on November 9, 2016, Niedermeyer executed unauthorized sales of stock […]

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Customer Sues Stifel Nicolaus For Misrepresentation

May 17, 2018  |   Posted by :   |   Elder Financial Abuse, Investment and Regulatory News   |   0 Comments

Manuel David Lozano of Pasadena California a stockbroker currently employed by Stifel Nicolaus Company Inc. is the subject of a customer initiated investment related arbitration claim where the customer requested $250,000.00 in damages based upon allegations of (1) misrepresentation (2) suitability and (3) elder abuse pertaining to the customer’s corporate debt investments. Financial Industry Regulatory […]

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Stifel Nicolaus Stockbroker Fined For Mismarking Trades

Kevin Stephen Fitzpatrick of Geneva Illinois a stockbroker formerly registered with Stifel Nicolaus Co. Inc. has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he mischaracterized customers’ trades and mismarked trades as unsolicited. Letter of Acceptance Waiver and Consent […]

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BMO Broker Fired For Mishandling Customer Information

Erin A. Daniels of Scottsdale Arizona is a stockbroker formerly registered with BMO Harris Financial Advisors, Inc. who was fired on March 1, 2018 founded on allegations that Daniels mishandled information from customers and conducted herself in a manner which was not consistent with industry rules or the firm’s policies and procedures. Financial Industry Regulatory […]

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Customer Sues Stifel Nicolaus For Misrepresentation

Jonathan Steven Harris of Palm Beach Florida is a stockbroker currently registered with Stifel Nicolaus and Company Inc. who is the subject of a customer initiated investment related arbitration claim in which the customer requested $1,550,000.00 in damages supported by accusations that Harris (1) omitted information from the customer regarding the risks of investing in […]

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Stifel Nicolaus & Company Overcharges Customers $2,700,000

November 15, 2015  |   Posted by :   |   Investment and Regulatory News, Mutual Fund Fraud   |   0 Comments

Stifel Nicolaus & Co., located in St. Louis, Missouri, was censured by Financial Industry Regulatory Authority (FINRA) for disadvantaging certain retirement plan and charitable organization customers that were eligible to purchase Class A shares in certain mutual funds without a front-end sales charge; and for failing to establish and maintain a supervisory system and procedures […]

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