Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 6, 2018 indicate that Pennsylvania-based Stifel Nicolaus & Company broker/adviser Joseph Pratt has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Pratt (CRD# 719416). Joseph Pratt has spent 37…

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Public available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 20, 2018 indicate that Florida-based Stifel Nicolaus & Company broker/adviser William Harrison is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Harrison (CRD# 1825208). William Harrison has spent 29…

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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 26, 2018 indicate that Florida-based Stifel Nicolaus & Company broker/adviser Gary Adkin is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Adkin (CRD# 3084484). Gary Adkin has spent 19…

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Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 19, 2018 indicate that former Minnesota-based Stifel Nicolaus & Company broker/adviser John James has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who…

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Michael Fahsholtz (CRD#: 2057306), a registered representative with Stifel, Nicolaus & Company, Incorporated (CRD#: 793) in Wenatchee, Washington, is currently involved in three pending customer disputes totaling $1 million, according to his BrokerCheck record accessed on March 18, 2020.  On April 29, 2019, a client filed a complaint against Michael Fahsholtz, alleging that he committed…

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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 19, 2017 indicate that Georgia-based Stifel Nicolaus & Company broker/adviser Nolan Baird has been sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Baird (CRD# 1654510). Nolan…

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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 4, 2017 indicate that Tennessee-based Stifel Nicolaus & Company broker/adviser Ronnie Tacker has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Tacker (CRD# 2706817). Ronnie Tacker has spent 21…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 2, 2017 indicate that Texas-based Stifel Nicolaus & Company broker/adviser Patricia Tippins has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Tippins (CRD# 2283279). Patricia Tippins has spent 24…

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Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 31, 2017 indicate that New Jersey-based Stifel Nicolaus & Company broker/adviser Kenneth Bruno has been named in a pending regulatory investigation. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Bruno (CRD# 854559). Kenneth Bruno has spent…

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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on May 12, 2017 indicate that Missouri-based Stifel Nicolaus & Company broker/adviser William McWilliams has been sanctioned by FINRA. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. McWilliams. William McWilliams has spent nine years in the securities industry and…

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