Shepherd Smith Edwards & Kantas, LLP Home
We Fight for Investors Cheated by Wall Street
Contact Us Now 
Investor Lawyers Blog
Search Results: Stifel
Results 20-30 of about 69
Date: February 1, 2024
INVESTOR ALERT: Clients of Stifel Nicolaus Financial Advisor Chuck Roberts File $38,100,000 In Broker Fraud Lawsuits.
Date: August 8, 2023
Shepherd Smith Edwards and Kantas Structured Product Loss Attorneys Investigates Stifel Nicolaus Broker Chuck Roberts Over Structured Note Sales Customers of Miami Beach Financial Advisor File $23.5M in Investor Loss Lawsuits Our seasoned broker fraud attorneys are looking into claims ...
Date: May 15, 2023
Did You Work With Ex-Stifel Nicolaus Broker Joseph Crespi and Suffer Investment Losses?
Date: May 24, 2022
In late 2021, Turner and his wife joined Stifel, Nicolaus, & Co. She is still with that firm, although Robert left after just several months in early 2022. While at UBS Financial Services, they reportedly oversaw $900M in customer assets ...
Date: March 9, 2022
Ohio Financial Advisor Andrew Elsoffer Named in Multiple Customer Disputes Andrew Bruce Elsoffer, who Stifel, Nicolaus & Co. fired in 2018, is suspended by the Financial Industry Regulatory Authority (FINRA) for two years, beginning March 7, 2022.
Date: April 9, 2020
FINRA Bars Fired Stifel Broker The Financial Industry Regulatory Authority (FINRA) announced that it has permanently barred former Stifel Nicolaus (SF) stockbroker Steven Dale Rodemer. The brokerage firm fired Rodemer earlier this year following allegations that he took funds from ...
Date: October 11, 2019
Four Stifel, Nicolaus & Co. (SF) clients were awarded $1.5M in compensatory damages in their Financial Industry Regulatory Authority (FINRA) arbitration case against the brokerage firm. According to AdvisorHub , the claimants are accusing the broker-dealer of not properly supervising ...
Date: September 11, 2018
Hurtak, formerly of Stifel Nicolaus & Co., was a broker for 39 years. According to FINRA, Hurtak refused to take part in the investigation into possibly unsuitable recommendations he may have made to several customers.
Date: January 2, 2018
Advisor Hub reports that these two brokerage firms were Barclays Capital (BARC) and Stifel (SF). As part of the deal, contends the regulator, a customer named Joseph Spera and another customer paid Hirsch cash kickbacks that were equivalent to a ...
Date: June 7, 2017
Former Stifel, Nicolaus Broker is Accused of Variable Annuity Violations The Financial Industry Regulatory Authority has suspended an ex-Stifel, Nicolaus (SF) broker for four months over variable annuity transactions that he purportedly inappropriately recommended to certain investors.
