Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 23, 2017 indicate that New York-based Stifel Nicolaus & Company broker/adviser Gary Rudow recently resigned from his former employer in connection to alleged policy violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Rudow (CRD# 2401201).
Gary Rudow has spent 23 years in the securities and has been registered with Stifel Nicolaus in New York, New York since November 2017. Previous registrations include Morgan Stanley in New York, New York (2009-2017); Morgan Stanley & Company in New York, New York (2008-2009); Bear Stearns & Company in New York, New York (2003-2008); Ryan Beck & Company in Florham Park, New Jersey (2002-2003); Gruntal & Company in New York, New York (2000-2002); and Tucker Anthony Incorporated in Boston, Massachusetts (1994-2000). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 29, 2008; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 26, 1995; and Series 7 (General Securities Representative Examination), which he obtained on January 24, 1994. He is a registered broker and investment adviser with 24 US states and territories: Arizona, California, Colorado, Connecticut, Florida, Georgia, Hawaii, Illinois, Indiana, Kansas, Maryland, Massachusetts, Michigan, New Jersey, New Mexico, New York, North Carolina, Ohio, Pennsylvania, Texas, Utah, the Virgin Islands, Washington and Wisconsin. He is registered with six self-regulatory organizations: Bats BZX Exchange Inc., FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.
According to his BrokerCheck report, Gary Rudow recently resigned from his former employer in connection to alleged policy violations.
In November 2017 Mr. Rudow submitted his voluntary resignation from Morgan Stanley Wealth Management following allegations he effected some securities transactions in non-discretionary customer accounts without first speaking to the customers in question.
If you or someone you know has lost money investing with Gary Rudow, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.