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Articles Tagged with Stifel Nicolaus & Company

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 16, 2019 indicate that Nevada-based Stifel Nicolaus & Company broker/adviser Mark Elston has been terminated or resigned from two former employers in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 16, 2019 indicate that Wisconsin-based Stifel Nicolaus & Company broker/adviser Robert Shirley has received several customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Shirley (CRD# 2021090). Robert Shirley has spent 29 years in the […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 20, 2019 indicate that California-based Stifel Nicolaus & Company broker/adviser Stephen Courtney has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Courtney (CRD# 1141394). Stephen Courtney has spent 35 […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 9, 2019 indicate that Michigan-based Stifel Nicolaus & Company broker/adviser Robert Rubarth was recently terminated from a former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Rubarth (CRD# […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 14, 2018 indicate that South Carolina-based Stifel Nicolaus & Company broker/adviser Lynn Faust was recently discharged from her former employer in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Faust (CRD# […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 15, 2018 indicate that Pennsylvania-based Stifel Nicolaus & Company broker/adviser John Lisowski has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Lisowski (CRD# 1011572). John Lisowski has spent 36 years […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 29, 2018 indicate that Florida-based Stifel Nicolaus & Company broker/adviser Peter Nicoletti, who resigned from a former employer in connection to alleged rule violations, has received a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 24, 2018 indicate that California-based Stifel Nicolaus & Company broker/adviser Ghazaleh Ebrahimi has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Ebrahimi (CRD# 2873246). Ghazaleh Ebrahimi has spent nineteen […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 5, 2018 indicate that Wisconsin-based Stifel Nicolaus & Company broker/adviser Kevin McKenna has received a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. McKenna (CRD# 1886142). Kevin McKenna has spent 29 years in the […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 5, 2018 indicate that former New York-based Stifel Nicolaus & Company broker/adviser Brian Hirsch, who has pled guilty to charges of bribery, has been named in pending complaints by the Securities and Exchange Commission. Fitapelli Kurta is interested in hearing from […]

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