STIFEL FINED $300K BY GALVIN WHILE INVESTMENT ADVISOR IS CHARGED OVER IMPROPER BUSINESS ARRANGEMENT According to a newspaper report known as ThinkAdvisor, a top Massachusetts’ police officer is currently investigating Stifel, and an investment advisor who had a deal with the company to manage all his clients’ trading. The publication cited a complaint filed by […]

Donald L. Bratten (CRD #1904756, North Platte, Nebraska) was assessed a deferred fine of $10,000 and suspended by FINRA member for four months for allegedly participating in a private securities transaction without providing prior written notice to or obtaining approval from his member firm. FINRA's findings stated that Bratten solicited two firm clients to invest […]