Stifel Nicolaus Clients Take Aim At Andrew Elsoffer For Possibly Breaching Fiduciary Duty Soreide Law Group is investigating potential investor claims of breach of fiduciary among other sales practice violations by securities broker Andrew Elsoffer (CRD#: 2580009, Pepper Pike, Ohio). Namely, at least 8 investors filed disputes about the broker, who worked for Stifel Nicolaus […]

FINRA Moves To Expel Steven Rodemer For Not Testifying About Use Of Client Funds Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) indefinitely barred securities broker Steven Dale Rodemer (CRD#: 830561, Pueblo, Colorado). Notably, the former Stifel Nicolaus securities broker is no longer allowed to associate with FINRA member brokerage firms after refusing to give […]

FINRA Sanctions Broker David Fleming For Not Paying Customer Arbitration Award Investor Alert! FINRA reports alarming information in regard to securities broker David Wilson Fleming Jr. [CRD#: 1021968, White Plains, New York]. Notably, FINRA suspended Wilson twice. In addition, at least two investors raised serious concerns about the securities broker, who most recently worked for […]

Stifel Nicolaus Broker Barred After Pleading Guilty To Fraud Soreide Law Group is investigating potential investor claims for losses caused by securities broker Mitchell Yanow (CRD#: 2148171, Boca Raton, Florida). Notably, the Securities and Exchange Commission (“SEC”) barred the securities broker, who associated with Stifel, Nicolaus & Company, Incorporated (“Stifel Nicolaus”) from 2015 to 2018. […]

Did COLEMAN DEVLIN Sell You Unsuitable Investments? Soreide Law Group is investigating potential claims against Stifel, Nicolaus & Company, Incorporated securities broker Coleman Devlin (CRD#: 2317635, Atlanta, Georgia) on behalf of investors whose accounts Devlin potentially traded in an inappropriate and unsuitable manner. Namely, FINRA BrokerCheck shows that at least 18 investors filed disputes involving […]

Stifel Nicolaus Customer Sues Firm For Breach Of Fiduciary Duty Scott Alan Sanders (CRD# 3063288, Fort Myers, Florida) has been a registered representative of Stifel, Nicolaus & Company, Incorporated since January 15, 2009. Sanders disclosed on FINRA BrokerCheck that his activities led Stifel Nicolaus customers to file a customer-initiated investment-related arbitration dated July 9, 2018 […]