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Mark Stevenson, Stifel Nicolaus, Faces Two Pending Complaints
Mark Stevenson, Stifel Nicolaus, Faces Two Pending Complaints Stifel Nicolaus broker and financial adviser Mark Stevenson, New York, has customer complaints. The investment recovery lawyers ...
Read moreFrancine Frechter, Stifel Nicolaus broker, Faces Pending Complaint
Francine Frechter, a Stifel Nicolaus broker, also known as Francine Weiner, in New York, is the subject of a pending customer complaint. The investment recovery lawyers ...
Read moreStifel Nicolaus fined $300,000
Stifel Nicholas was fined $300,000 for its participation in dealing “penny stocks” and inadequate supervision. Stifel failed to have an adequate supervisory program to ...
Read moreStifel Nicolaus Broker Alerts
Another Jackson Mississippi , Lanis Dale Noble, of Stifel Nicolaus & Co., caused a large arbitration award against Stifel Nicolaus. There, the customer asserted ...
Read moreStifel Nicolaus Censured
Stifel Nicholas was censured and fined $55,000 for failing to execute orders fully and promptly, using reasonable diligence to learn the best market prices. ...
Read moreArbitration loss for Stifel Nicolaus
Stifel Nicolas suffered an arbitration loss based on its lack of supervision of Jackson Mississippi broker Phillip Lang. There, the customer asserted the following ...
Read moreFines against Stifel Nicolaus
Stifel Nicolaus was fined $500,000 for wilful violations of the Federal securities laws in Stifel underwriting of certain municipal securities offering. Stifel failed to ...
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