Stifel Nicolaus & Co.

  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Loren Morrison formerly with Stifel Nicolaus & Company
Rex Securities Law Investment Fraud Attorney Investigates Loren Morrison formerly with Stifel Nicolaus & Company 150 150 Robert Rex, Esq.

Last Updated: February 2024 (Southfield, MI) Loren Morrison Investigation Summary Here’s what you need to know about Southfield, MI, stockbroker Loren Morrison: Name: Loren Justin Morrison Current Employer: Stifel Nicolaus…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates David Stone a Financial Advisor with Stifel Nicolaus & Co.
Rex Securities Law Investment Fraud Attorney Investigates David Stone a Financial Advisor with Stifel Nicolaus & Co. 150 150 Robert Rex, Esq.

Last Updated: January 2024 (New York, NY & Miami, FL) Dave Stone Investigation Summary Here’s what you need to know about New York, NY & Miami, FL, stockbroker David Stone:…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Stifel Nicolaus Broker Chuck Roberts
Rex Securities Law Investment Fraud Attorney Investigates Stifel Nicolaus Broker Chuck Roberts 150 150 Robert Rex, Esq.

Last Updated: December 2023 (Miami, FL) Chuck Roberts Investigation Summary Here’s what you need to know about New York, NY & Miami, FL, stockbroker Chuck Roberts: Name: Mr. Chuck A.…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Jennifer Basey (Hilliard) formerly with Stifel, Nicolaus & Company
Rex Securities Law Investment Fraud Attorney Investigates Jennifer Basey (Hilliard) formerly with Stifel, Nicolaus & Company 150 150 Robert Rex, Esq.

Last Updated: November 2023 (Ft. Myers, Florida) Jennifer Basey Investigation Summary Here’s what you need to know about Fr. Myers, stockbroker Jeffifer Basey: Name: Jennifer Lillian Basey Current Employer: American…

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  • ER

Gregory Sain – Former Stifel Nicolaus Broker- Discloses Prior Customer Settlements – Beverly Hills, CA
Gregory Sain – Former Stifel Nicolaus Broker- Discloses Prior Customer Settlements – Beverly Hills, CA 150 150 ER

Gregory Sain Investigation June 2023 – Beverly Hills, CA According to publicly available records  Gregory Sain ,  a broker  who was previously registered with Stifel Nicolaus and is now with Morgan…

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David J. Morris- Former Stifel, Nicolaus & Company Broker-Barred From Securities Industry by Regulators & Subject of Customer Suit -Chicago, IL
David J. Morris- Former Stifel, Nicolaus & Company Broker-Barred From Securities Industry by Regulators & Subject of Customer Suit -Chicago, IL 150 150 ER

David Jeffrey Morris Investigation June 2023-Chicago, IL According to publicly available records David Jeffrey Morris a former broker who last worked for Stifel, Nicolas & Company,  discloses a final regulatory matter…

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John “JC” Carroll- Former Vanderbilt Securities Broker-Suspended Indefinitely From Securities Industry by Regulators -Juno Beach, FL
John “JC” Carroll- Former Vanderbilt Securities Broker-Suspended Indefinitely From Securities Industry by Regulators -Juno Beach, FL 150 150 ER

John “JC” Carroll Investigation June  2023-Juno Beach, FL According to publicly available records John Carroll IV a former broker who previously was employed by  Vanderbilt Securities,  discloses a final regulatory matter…

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  • Robert Rex, Esq.

Stifel Nicolaus & Co. Fined $2.5 Million For Allowing Broker to Make Unauthorized Trades
Stifel Nicolaus & Co. Fined $2.5 Million For Allowing Broker to Make Unauthorized Trades 150 150 Robert Rex, Esq.

Stifel Nicolaus Investigation May 2023- Taunton, MA  According to publicly available records,  Stifel Nicolaus & Co.  has been fined $2.5 million by Massachusetts securities regulator William Galvin for ignoring a…

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  • ER

Robert Turner-Former UBS Financial Broker-Discloses over $12 M in Settlements Involving Phony Annuities -Waco, Texas
Robert Turner-Former UBS Financial Broker-Discloses over $12 M in Settlements Involving Phony Annuities -Waco, Texas 150 150 ER

Robert Turner Investigation March  2023- Waco, Texas According to publicly available records Robert Earl Turner, Jr.  , (CRD# 2113736 ),  a  stockbroker who formerly worked  with UBS Financial Services, Inc.   discloses 7…

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