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Articles Tagged with stifel nicolaus

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 13, 2019 indicate that California-based Stifel Nicolaus broker/adviser Joel Davidman has received a pending customer complaint and was recently sanctioned by state regulatory authorities. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Davidman (CRD# 861180). […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 16, 2018 indicate Florida-based Stifel Nicolaus broker/adviser Scott Sanders has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Sanders (CRD# 3063288). Scott Sanders has spent 20 years in the securities industry […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 13, 2017 indicate that Colorado-based Stifel Nicolaus broker/adviser Martin Stevens has received pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Stevens (CRD# 1804469). Martin Stevens has spent 29 years in the securities […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on October 21, 2016 indicate that Florida-based Stifel Nicolaus broker/adviser David Holz is has received pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Holz (CRD# 2488092). David Holz has […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 30, 2016 indicate that former Ohio-based Stifel Nicolaus broker Jon Schmidhammer is currently not licensed to act as a broker or an investment adviser (CRD# 1548931). Jon Schmidhammer has spent 29 years in the securities industry and was most recently registered with […]

Public records published by the Financial Industry Regulatory Authority (FINRA) on August 19, 2016 indicate that Illinois-based Stifel Nicolaus broker/adviser Christopher Prassas has received customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Prassas (CRD# 2271394). Christopher Prassas has spent 23 years […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 18, 2016 indicate that Colorado-based Stifel Nicolaus & Company broker/adviser Barry Bruner has received resolved or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Bruner (CRD# 1565469). […]

Public records published by the Financial Industry Regulatory Authority (FINRA) on July 14, 2016 indicate that Illinois-based Stifel Nicolaus broker/adviser Kevin Fitzpatrick has received several customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Fitzpatrick (CRD# 1447182). Kevin Fitzpatrick has spent 26 […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 11, 2016 indicate that Arkansas-based Wilbanks Securities broker Andrew Hardie has been the subject of several customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hardie (CRD# 1765110). Andrew […]

Public records published by the Financial Industry Regulatory Authority on July 6, 2016 indicate that Louisiana-based Stifel Nicolaus broker/adviser James Cox has received settled or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Mr. Cox (CRD# 2365633). James Cox has spent 22 years in the […]

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