August 1, 2022
Mark Stevenson (CRD#: 436079) is a dually registered Broker and Investment Advisor at Stifel, Nicolaus & Company, Inc. in New York, NY. Broker’s Background He entered the securities industry in 1974 and previously worked for Barclays Capital, Inc.; Lehman Brothers, Inc.; Lehman Brothers Kuhn Loeb, Inc.; White, Weld & Co., Inc. Current And Past Allegations […]
January 17, 2021
Joseph H. Pratt (CRD#: 719416) was a broker employed by Stifel, Nicolaus & Company, Inc. from 2014-2019. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on June 12, 2020, a customer complaint was filed against Joseph H. Pratt for alleged violation of the Florida Securities and Investor Protection Act, breach […]
April 26, 2020
Brian Engstrom (CRD # 1838926) was a Financial Advisor at Stifel, Nicolaus & Co. in Pensacola, FL. Brian Engstrom has been in the securities industry since 1989 and previously worked at Oppenheimer & Co. and Josephthal & Co. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on April 20, 2020, […]
April 3, 2020
Steven Dale Rodemer (CRD # 830561) was a Financial Advisor at Stifel, Nicolaus & Company, Incorporated in Pueblo, CO. Steven Rodemer has been in the securities industry since 1976 and previously worked for a number of brokerage firms, including Sanders Morris Harris Inc., Cascade Investment Group, Inc. and Salomon Smith Barney Inc. According to publicly […]
November 7, 2019
Lawrence R. Delhagan, Jr. (CRD # 2779312) is a Financial Advisor at Stifel, Nicolaus & Company in Center Valley, PA. Lawrence Delhagan has been in the securities industry since 1996 and previously worked at Ryan Beck & Co., Gruntal & Co. and WMA Securities, Inc. According to publicly available records released by the Financial Industry […]
May 19, 2019
Joel Davidman is a Financial Advisor at Stifel Nicolaus in Beverly Hills, California. Joel Davidman entered the securities industry in 1981 and previously worked for Morgan Stanley for 35 years before being terminated for “allegations relating to the registered representative’s discretionary trades in client accounts without written authorization.” According to publicly available records released by […]
September 13, 2018
The Wolper Law Firm is currently investigating claims against Scott Alan Sanders, a Financial Advisor at Stifel Nicolaus in Ft. Myers, Florida. Scott Sanders has been in the securities industry since the 1990s and previously worked at Wachovia Securities. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on July 25, […]
August 7, 2018
The Wolper Law Firm is currently investigating claims against Chadwick Carrick, a former Financial Advisor at Stifel Nicoloaus, who is now with Jeffrey Matthews Financial Corp. in Mobile, Alabama. Chadwick Carrick has been in the securities industry since the 1990s and previously worked at Sterne, Agee & Leach and Morgan Stanley. According to publicly available […]
July 26, 2018
The Wolper Law Firm is currently investigating claims against Robert Cleary, a Financial Advisor at Stifel Nicolaus in New York, NY. Robert Cleary has been in the securities industry since the 1980s and previously worked for Gruntal & Co. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on May 17, […]
July 21, 2018
The Wolper Law Firm is currently investigating claims against Stephen Hurtuk, a former Financial Advisor at Stifel Nicolaus in Boardman, Ohio. Stephen Hurtuk has been in the securities industry since the 1970s and previously worked for Citigroup and Merrill Lynch. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Stephen Hurtuk […]