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Tag Archives: Stifel
$730M UBS team jumps to Stifel | On Wall Street
The recruits will operate from a new Cincinnati office.https://onwallstreet.financial-planning.com/news/730-million-ubs-team-jumps-to-stifel Read more detail on Recent Banking and Finance Law posts –
Stifel, Nicolaus Advisor Lynn Faust Subject to Investor Complaints
According to BrokerCheck records financial advisor Lynn Faust (Faust), currently employed by Stifel, Nicolaus & Company, Inc. (Stifel Nicolaus) has been subject to at least three customer complaints and one employment termination for cause during her career. According to records … Continue reading
Posted in Securities Law
Tagged Advisor, Complaints, Faust, Investor, Lynn, Nicolaus, Stifel, Subject
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State of Mass. Fines Stifel Nicolaus & Co $300K
Stifel Nicolaus & Co to pay $300,000 for Alleged Scheme According to reports, Massachusetts’ regulators led by Secretarty of State William Galvin, has gone after the broker-dealer Stifel, Nicolaus & Co. and an investment advisor with whom the firm had a … Continue reading
Silver Law Group is Investigating Gary Adkin of Stifel, Nicolaus & Company
Gary Adkin (CRD# 3084484) is the subject of a pending customer dispute alleging $1,550,000 in damages. Adkin has been with the Palm Beach, Florida office of Stifel, Nicolaus & Company since 2015. He was previously registered with Barclays Capital, also … Continue reading
Posted in Securities Law
Tagged Adkin, amp, Company, Gary, group, investigating, Nicolaus, silver, Stifel
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Silver Law Group is Investigating William Harrison of Stifel Nicolas & Company
Stifel Nicolaus & Company broker/adviser William Harrison is involved in a pending customer dispute. William Harrison has spent 29 years in the securities industry and has been registered with Stifel Nicolaus & Company in Boca Raton, Florida since 2009. Palm … Continue reading
Posted in Securities Law
Tagged amp, Company, group, Harrison, investigating, Nicolas, silver, Stifel, William
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