stifel nicolaus finra problem

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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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  • Robert Rex, Esq.

William G. Mason- Stifel Nicolaus Broker-Discloses Pending Customer Dispute -New Orleans, LA
William G. Mason- Stifel Nicolaus Broker-Discloses Pending Customer Dispute -New Orleans, LA 150 150 Robert Rex, Esq.

November 2020- New Orleans, LA According to publicly available records, a  Stifel, Nicolaus & Company broker William Geary Mason  discloses a pending customer dispute and a termination. The Financial Industry…

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  • Robert Rex, Esq.

Stifel Nicolaus Ordered to Pay Elderly Couple For Puerto Rico Bond Losses
Stifel Nicolaus Ordered to Pay Elderly Couple For Puerto Rico Bond Losses 150 150 Robert Rex, Esq.

Over the past few years St. Louis based Stifel Nicolaus & Co. has faced a number of problem with regulators as well as actions filed by disgruntled customers, including: In…

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