Articles Tagged with Stifel Nicolaus & Company

Jon Randall

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 29, 2017 indicate that Michigan-based Stifel Nicolaus & Company broker/adviser Jon Randall was recently terminated from her former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Randall (CRD# 4966118).

Jon Randall has spent 12 years in the securities industry and has been registered with Stifel Nicolaus & Company in Southfield, Michigan since January 2018. Previous registrations include Morgan Stanley in Grosse Pointe Farms, Michigan (2009-2018) and Citigroup Global Markets in Grosse Pointe, Michigan (2005-2009). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 28, 2005; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 22, 2005; and Series 7 (General Securities Representative Examination), which he obtained on July 14, 2005. He is registered with 15 US states and territories: Arizona, California, the District of Columbia, Indiana, Iowa, Michigan, Nevada, New Jersey, New York, Ohio, Columbia, Oklahoma, Pennsylvania, Rhode Island, South Carolina, and Washington. He is registered with six self-regulatory organizations (SROs): Bats BZX Exchange, FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he was recently discharged from his former employer in connection to alleged rule violations.

Jonathan HarrisPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 23, 2017 indicate that Florida-based Stifel Nicolaus & Company broker/adviser Jonathan Harris has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Harris (CRD# 4137457).

Jonathan Harris has spent 16 years in the securities industry and has been registered with Stifel Nicolaus & Company in Palm Beach, Florida since 2015. Previous registrations include Barclays Capital in Palm Beach, Florida (2008-2015); Lehman Brothers in Palm Beach, Florida (2003-2008); Harris Investor Services in Jersey City, New Jersey (2002-2003); and Harris Investorline in Seattle, Washington (2001-2002). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on May 7, 2003; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 27, 2001; Series 3 (National Commodity Futures Examination), which he obtained on April 28, 2014; and Series 7 (General Securities Representative Examination), which he obtained on April 12, 2001. He is a registered broker and investment adviser with eleven US states and territories: Alabama, Arizona, California, Colorado, Connecticut, the District of Columbia, Florida, Nevada, New Jersey, New York, and Washington. He is registered with ten self-regulatory organizations (SROs): Bats BZX Exchange, Bats EDGA Exchange, Bats EDGX Exchange, the Chicago Stock Exchange, FINRA, NYSE American LLC, Nasdaq ISE, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one customer complaint and one pending customer complaint.

Gary Rudow

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.

Kenneth RamosPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 23, 2017 indicate that New York-based Stifel Nicolaus & Company broker/adviser Kenneth Ramos, who has received a customer dispute, recently resigned from a former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Ramos (CRD# 2553426).

Kenneth Ramos has spent 20 years in the securities industry and has been registered with Stifel Nicolaus & Company 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 (2002-2008); RBC Dain Rauscher in New York, New York (2002); and Tucker Anthony Incorporated in Boston, Massachusetts (1997-2002). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 3, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 18, 1997; Series 3 (National Commodity Futures Examination), which he obtained on May 24, 2003; and Series 7 (General Securities Representative Examination), which he obtained on June 10, 1997. He is a registered broker and investment adviser with 23 US states and territories: Arizona, California, Colorado, Connecticut, the District of Columbia, Florida, Georgia, Hawaii, Illinois, Indiana, Kansas, Maryland, Massachusetts, Michigan, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Rhode Island, Texas, the Virgin Islands, and Wisconsin. He is registered with six self-regulatory organizations (SROs): 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, Kenneth Ramos has received one customer complaint and resigned from a former employer in connection to alleged rule violations.

George PetersenPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 23, 2017 indicate that Minnesota-based Stifel Nicolaus & Company broker/adviser George Petersen is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Petersen (CRD# 1222689).

George Petersen has spent 34 years in the securities industry and has been registered with Stifel Nicolaus & Company in Rochester, Minnesota, since 2006. Previous registrations include Citigroup Global Markets in Rochester, Minnesota (1993-2006); Lehman Brothers in New York, New York (1989-1993); and Painewebber in Weehawken, New Jersey (1984-1989). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 8, 1992; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 30, 1983; and Series 7 (General Securities Representative Examination), which he obtained on December 17, 1983. He is a registered broker and investment adviser with 32 US states and territories: Arizona, California, Colorado, Connecticut, Florida, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Nebraska, New Jersey, New York, North Carolina, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, Tennessee, Texas, Utah, Virginia, and Wisconsin. He is registered with five self-regulatory organizations (SROs): FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one pending customer complaint.

Kenneth AlterPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 20, 2017 indicate that California-based Stifel Nicolaus & Company broker/adviser Kenneth Alter has been sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Alter (CRD# 2147698).

Kenneth Alter has spent 26 years in the securities industry and has been registered with Stifel Nicolaus & Company in Los Angeles, California since 2015. Previous registrations include Morgan Stanley in Beverly Hills, California (2009-2015); Morgan Stanley & Company in Beverly Hills, California (2007-2009); and Morgan Stanley Dw in Beverly Hills, California (1991-2007). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 9, 1991, and Series 7 (General Securities Representative Examination), which he obtained on June 18, 1991. He is a registered broker and investment adviser with 15 US states and territories: Alabama, Arizona, California, Florida, Illinois, Nevada, New Jersey, New York, North Carolina, Ohio, Oregon, Puerto Rico, Tennessee, Texas and Virginia. He is registered with six self-regulatory organizations (SROs): Bats BZX Exchange, FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he was recently sanctioned by FINRA and discharged from his former employer, and he has received four denied customer complaints.

Marc SukoneckPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 1, 2017 indicate that New Jersey-based Stifel Nicolaus & Company broker/adviser Marc Sukoneck has received several resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Sukoneck (CRD# 2922106).

Marc Sukoneck has spent 20 years in the securities industry and has been registered with Stifel Nicolaus & Company in Florham Park, New Jersey since 2007. She was previously registered with Ryan Beck & Company in Florham Park, New Jersey (1997-2007). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 28, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 30, 1998; and Series 7 (General Securities Representative Examination), which he obtained on July 29, 1997. He is a registered broker and investment adviser with 15 US states and territories: Arizona, Connecticut, Delaware, Florida, Georgia, Illinois, Maryland, Massachusetts, Missouri, New Jersey, New Mexico, New York, Pennsylvania, South Carolina and Virginia. He is registered with five self-regulatory organizations (SROs): FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received four customer complaints and two pending customer complaints.

Cindy RussellPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 1, 2017 indicate that former Tennessee-based Stifel Nicolaus & Company broker/adviser Cindy Russell has been involved in a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Russell (CRD# 1378224).

Cindy Russell has spent 29 years in the securities industry and was most recently registered with Stifel Nicolaus & Company in Memphis, Tennessee (2008-2016). Previous registrations include Wachovia Securities in Memphis, Tennessee (2002-2008); Wachovia Securities in Charlotte, North Carolina (2000-2002); Painewebber in Weehawken, New Jersey (2000); JC Bradford & Company in New York, New York (1989-2000); Union Planters Investment Bankers Group (1987-1989); and Brenner Steed (1987). She has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which she obtained on June 8, 1987; Series 7 (General Securities Representative Examination), which she obtained on July 15, 1989; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which she obtained on May 27, 1988; and Series 52 (Municipal Securities Representative Examination), which she obtained on April 6, 1987. She is currently not registered with any state or firm.

According to her BrokerCheck report, she has received one customer complaint and one denied customer complaint.

David MinkerPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 28, 2017 indicate that New York-based Stifel Nicolaus & Company broker/adviser David Minker has received several customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Minker (CRD# 336377).

David Minker has spent 46 years in the securities industry and has been registered with Stifel Nicolaus & Company in New York, New York since 2007. Previous registrations include Ryan Beck & Company in New York, New York; Gruntal & Company in New York, New York; Dean Witter Reynolds in Purchase, New York; Smith Barney Shearson in New York, New York; Bear Stearns & Company in New York, New York; Capital Intermediary Group; Concord Assets Securities; John Muir & Company; Prescott Ball & Turben; Oppenheimer & Company; Shearson Loeb Rhoades; Shearson Hayden Stone; and Hayden Stone. He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); PC (AMEX Put and Call Exam); Series 1 (Registered Representative Examination); Series 24 (General Securities Principal Examination); and Series 40 (Registered Principal Examination). He is a registered broker and investment adviser with 21 US states and territories.

According to his BrokerCheck report, he has received six customer complaints.

David Fleming Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 16, 2017 indicate that former New York-based Stifel Nicolaus & Company broker/adviser David Fleming Jr. was discharged from his former employer and has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Fleming (CRD# 1021968).

David Fleming has spent 32 years in the securities industry and was most recently registered with Stifel Nicolaus & Company in White Plains, New York (2015-2017). Previous registrations include Sterne Agee & Leach in New York, New York; Deutsche Bank Securities in Greenwich, Connecticut; Oppenheimer & Company in Stamford, Connecticut; Wachovia Securities in Old Greenwich, Connecticut; Deutsche Bank Alex Brown in New York, New York; DB Alex Brown in Baltimore, Maryland; Everen Securities in St. Louis, Missouri; Painewebber in Weehawken, New Jersey; Oppenheimer & Company in New York, New York; Shearson Lehman Hutton in New York, New York; Prudential-Bache Securities; EF Hutton & Company; Fahnestock & Company; Hornblower Fischer & Company; Holmes Ferguson & Company; Prudential-Bache Securities; and Moseley Hallgarten Estabrook & Weeden. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one pending customer complaint and was discharged from his former employer.