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Tag: Stifel Nicolaus

Broker Investigations, Investment Loss Recovery

Chuck Roberts, Stifel Nicolaus, Structured Notes Lawsuits

Stifel Advisor Chuck Roberts Faces $25 Million in Customer Claims Over Structured Notes  Chuck Roberts (CRD#: 2064602), a financial...

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Securities Fraud Articles

Stifel, Nicolaus & Co. Structured Notes Lawsuit

FINRA Claim filed against Stifel, Nicolaus & Co. Alleging Unsuitable Structured Notes  The White Law Group announces the filing of a...

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Blog, Securities Fraud Articles

Wells Fargo to pay nearly $2.7 million for early UIT rollovers 

FINRA Sanctions Wells Fargo and four other BDs for excessive sales charges  According to The Financial Industry Regulatory...

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Blog, Securities Fraud Articles

Arhonda T’Lene Guinn barred from securities industry by FINRA

According to a recent FINRA Disciplinary Actions announcement, Arhonda T’Lene Guinn (CRD #4401132, Vero Beach, Florida) submitted an AWC...

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Blog, Securities Fraud Articles

Kenneth George Neely barred from Securities Industry

The Financial Industry Regulatory Authority has permanently barred a former Stifel, Nicolaus & Co., Inc. and AXA Advisors broker from...

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