Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 21, 2016 indicate that Ohio-based Stifel Nicolaus broker/adviser Stephen Hurtuk is the subject of a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hurtuk (CRD# 848484). Stephen…

Read More

The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Alabama-based Stifel Nicolaus broker/adviser Joe Hamilton (CRD# 716146). Joe Hamilton has spent 33 years in the securities industry and has been registered with Stifel Nicolaus in Montgomery, Alabama since 2012. Previous registrations include Morgan Keegan &…

Read More

On September 2, 2014, the Financial Industry Regulatory Authority (FINRA) fined broker-dealer firm, Stifel Nicolaus & Co. for failing to establish and implement an anti-money laundering program designed to detect and report suspicious activity. Between September 1, 2009 and December 31, 2013, Stifel, Nicolaus executed unsolicited purchases of at least $2.5 billion shares of penny stocks, on behalf of its customers. These penny stock purchases generated around $320 million in proceeds for Stifel.

Read More