Investors might have sustained losses because of securities broker Virginia Kimiye Panjvani (also known as Virginia Kimiye Kuwahara) [CRD: 833818, San Diego, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Panjvani worked for Stifel, Nicolaus & Company, Incorporated from September 5, 2018, to the present. See the following information to find out […]

FINRA BrokerCheck barred securities broker Roy Kevin Williams [CRD: 843607, Indianapolis, Indiana], according to disclosures on BrokerCheck. According to the regulator, Williams worked for Stifel Nicolaus Company Inc. from June 17, 2009, to May 16, 2023. Here’s more about the securities broker’s disclosures. FINRA Sanctioned Williams For Failing To Testify Specifically, on September 5, 2024, […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Jennifer Lillian Basey (also known as Jennifer Lillian Hilliard) (CRD#: 4730054, McDonough, Georgia). Basey has been registered with American Global Wealth Management Inc. since November 16, 2023. Previously, she was employed by Stifel Nicolaus from January 2020 to November 2023 and Edward Jones from […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Patrick M. Dever [CRD: 2202204, West Chester, Pennsylvania]. Dever is currently registered with Stifel Nicolaus Company Incorporated, where he has worked since October 30, 2014, as a financial advisor and securities broker. Prior to this, Dever was employed by Morgan Stanley from 2009 to […]

Investors have come forward with complaints about Loren Morrison (also known as Loren Justin Morrison) (CRD: 4578161, Southfield, Michigan). Particularly, the securities broker, who worked for Stifel Nicolaus Company Incorporated, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Stifel Nicolaus Company Incorporated clients allege that Morrison violated state laws, made unsuitable recommendations, […]

Soreide Law Group is investigating possible investor claims against securities broker Joel Kichline (also known as Joel Paul Kichline) [CRD: 1416219, Frontenac, MO. Notably, Stifel Nicolaus Company Incorporated permitted Joel Kichline to resign amid allegations of his misconduct. Supposedly, Kichline possibly engaged in discretionary trading. Here is a brief summary of Stifel Nicolaus Company Incorporated’s […]

Investors have come forward with complaints about securities broker Loren Morrison AKA Loren Justin Morrison [CRD#: 4578161, Southfield, MI]. Evidently, the securities broker, who worked for Stifel Nicolaus Company Incorporated, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Stifel Nicolaus Company Incorporated clients allege that Morrison was negligent, breached a contract, breached […]

Soreide Law Group is investigating possible investor claims against securities broker Kaival Patel AKA Kaival Patel [CRD#: 4470522, Hackensack, NJ]. Notably, New Jersey Bureau Securities sanctioned the securities broker, who worked for Stifel Nicolaus Company. Allegedly, Patel was sanctioned because he was barred by FINRA. Here is a brief summary New Jersey Bureau Securities’ allegations […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Andrew Elsoffer AKA Andrew Bruce Elsoffer [CRD#: 2580009, Pepper Pike, OH]. Evidently, investors disputed the sales practices of the securities broker, who worked for Stifel Nicolaus Company. Additionally, the securities broker discloses a regulatory enforcement action. However, Elsoffer denies the allegations of sales […]