Articles Tagged with Stifel Nicolaus

Robert HartPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 13, 2019 indicate that California-based Stifel Nicolaus broker/adviser Robert Hart has received a pending customer complaint. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hart (CRD# 2313194).

Robert Hart has spent 26 years in the securities industry and has been registered with Morgan Stanley in Sea Girt, New Jersey since 2017. Previous registrations include Wells Fargo Clearing Services in Spring Lake, New Jersey (2012-2017); RBC Capital Markets in Wall Township, New Jersey (2008-2012); UBS Financial Services in Red Bank, New Jersey (2004-2008); Morgan Stanley DW in Purchase, New York (1994-2004); Equico Securities in New York, New York (1993-1994); and the Equitable Life Assurance Society of the United States in New York, New York (1993-1994). He has passed eight securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 3, 2002; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 18, 1993; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 31 (Futures Managed Funds Examination), which he obtained on April 18, 1995; Series 7 (General Securities Representative Examination), which he obtained on October 1, 1994; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on January 27, 1993; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on April 17, 2001; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on March 2, 2001. He is a registered broker and investment adviser with 22 US states and territories: California, Connecticut, Delaware, Florida, Georgia, Hawaii, Indiana, Louisiana, Maryland, Massachusetts, Montana, Nevada, New Jersey, New Mexico, New York, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, Vermont, and Virginia.

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

Manuel LozanoPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 26, 2017 indicate that California-based Stifel Nicolaus broker/adviser Manuel Lozano has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Lozano (CRD# 1004483).

Manuel Lozano has spent 36 years in the securities industry and has been registered with Stifel Nicolaus & Company in Pasadena, California since 2007. Previous registrations include AG Edwards & Sons in Pasadena, California (1990-2007) and Dean Witter Reynolds in Purchase, New York (1981-1990). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with eight US states: Alabama, California, Colorado, Idaho, Maryland, Oregon, Rhode Island, and Washington. 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 one pending customer complaint.

Joel DavidmanPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 1, 2017 indicate that California-based Stifel Nicolaus broker/adviser Joel Davidman was recently sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Davidman (CRD# 861180).

Joel Davidman has spent 36 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; Morgan Stanley & Company in Beverly Hills, California; and Morgan Stanley DW in Beverly Hills, California. He is a registered broker and investment adviser with six US states and territories: Arizona, California, the District of Columbia, Florida, Ohio and Wisconsin.

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

John Whitaker

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 27, 2017 indicate that Indiana-based Stifel Nicolaus broker/adviser John Whitaker has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Whitaker (CRD# 1991866).

John Whitaker has spent 27 years in the securities industry and has been registered with Stifel Nicolaus & Company in Indianapolis, Indiana since February 2017. Previous registrations include City Securities Corporation in Indianapolis, Indiana and Dean Witter Reynolds in Purchase, New York. He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with eight US states and territories: California, Colorado, Florida, Illinois, Indiana, New York, North Carolina, and Tennessee.

According to his BrokerCheck report, John Whitaker has received a pending customer complaint.

James Cox Publicly available records provided by the Financial Industry Regulatory Authority on June 12, 2017 indicate that former Louisiana-based Stifel Nicolaus broker/adviser James Cox has been sanctioned by FINRA and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Cox (CRD# 2365633).

James Cox has spent 23 years in the securities industry and was most recently registered with Stifel Nicolaus & Company in Baton Rouge and New Orleans, Louisiana since July 2015. Previous registrations include Sterne Agee & Leach in Baton Rouge, Louisiana; Stanford Group Company in Baton Rouge, Louisiana; Securities America in Baton Rouge, Louisiana; and FSC Securities Corporation in Atlanta, Georgia. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one FINRA sanction, two customer complaints and two pending customer complaints.

Harold MeyersPublic records published by the Financial Industry Regulatory Authority (FINRA) on February 27, 2017 indicate that California-based Stifel Nicolaus broker/adviser Harold Meyers has been named in several resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Meyers (CRD# 333327).

Harold Meyers has spent 47 years in the securities industry and has been registered with Stifel Nicolaus & Company in Los Angeles, California since 2009. Previous registrations include Wells Fargo Advisors in Beverly Hills, California; AG Edwards & Sons in Beverly Hills, California; Wells Fargo Investments in San Francisco, California; Wells Fargo Van Kasper in San Francisco, California; HJ Meyers & Company, which has been expelled from FINRA, in Rochester, New York; Meyers Securities Corporation in Rochester, New York; Loeb Partners; Loeb Rhoades & Company; and Shearson Hammill & Company. He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); Series 41 (NYSE Allied Member Examination); and Series 1 (Registered Representative Examination). He is a registered broker and investment adviser with ten US states and territories: Alabama, California, Colorado, Michigan, Nevada, New Jersey, New York, North Carolina, South Carolina, Texas, and Utah.

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

Louis TelericoPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on January 9, 2017 indicate that former Ohio-based Westminster Financial Securities broker Louis Telerico has been the subject of customer complaints. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Telerico (CRD# 443875).

Louis Telerico has spent 46 years in the securities industry and was most recently registered with Westminster Financial Securities in Dayton, Ohio (2012-2016). Previous registrations include Stifel Nicolaus & Company in Fairlawn, Ohio; Butler Wick & Company in Fairlawn, Ohio; Merrill Lynch in Cleveland, Ohio; and Blythe Eastman Dillon & Company. He is currently not registered with any state or firm.

According to his BrokerCheck report, Louis Telerico has received four customer complaints.

Michael DorseyPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on October 12, 2016 indicate that Hawaii-based Stifel Nicolaus broker/adviser Michael Dorsey is the subject of a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Dorsey (CRD# 1585567).

Michael Dorsey has spent 29 years in the securities industry and has been registered with Stifel Nicolaus & Company in Honolulu, Hawaii since 2008. Previous registrations include Wachovia Securities in Honolulu, Hawaii; AG Edwards & Sons in Honolulu, Hawaii; Citigroup Global Markets in New York, New York; and Lehman Brothers in New York, New York. He is a registered broker and investment adviser with thirteen US states and territories: Arizona, California, Colorado, Florida, Georgia, Hawaii, Illinois, Iowa, Kentucky, Nevada, New Mexico, Virginia, and Washington.

According to his BrokerCheck report, Michael Dorsey has received one pending customer complaint and was discharged from his position at Smith Barney.

Kenneth ReevesPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on September 29, 2016 indicate that Ohio-based Stifel Nicolaus broker/adviser Kenneth Reeves has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Reeves (CRD# 1771786).

Kenneth Reeves has spent 28 years in the securities industry and has been registered with Stifel Nicolaus & Company in Westlake, Ohio since 2009. Previous registrations include Wachovia Securities in Beachwood, Ohio; AG Edwards & Sons in Beachwood, Ohio; Painewebber in Weehawken, New Jersey; and Kidder Peabody & Company in New York, New York. He is a registered broker and investment adviser with nineteen US states and territories: Alaska, Arizona, California, Colorado, Florida, Georgia, Illinois, Indiana, Kansas, Maryland, Michigan, New Mexico, North Carolina, Ohio, Pennsylvania, South Carolina, Texas, Washington, and Wisconsin. According to his BrokerCheck report, Kenneth Reeves has received two customer complaints.

In 2015 a customer alleged Kenneth Reeves, while employed at Stifel Nicolaus & Company, committed fraud, negligently misrepresented material facts, and breached his fiduciary duty. The complaint settled in June 2016 for more than $10,200.

Joe Hamilton Public records provided by the Financial Industry Regulatory Authority (FINRA) on August 16, 2016 indicate that Alabama-based Stifel Nicolaus & Company broker/adviser Joe Hamilton Jr. has been the subject of numerous customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Hamilton (CRD# 716146).

Joe Hamilton has spent 34 years in the securities industry and has been registered with Stifel Nicolaus & Company in Montgomery, Alabama since 2012. Previous registrations include Morgan Keegan & Company in Montgomery, Alabama; Regions investment Company in Birmingham, Alabama; and George M. Wood & Company. He is a registered broker and investment adviser with 17 US states and territories. Continue Reading