Stifel, Nicholas & Co. in July settled two extra complaints for nearly $3.6 million tied to barred dealer Chuck Roberts, in line with his BrokerCheck file. Stifel in July...
Former Million-Greenback Merrill Dealer Barred For Not Cooperating in Covid Reduction Mortgage Probe
September 3, 2021 Persevering with its crackdown on brokers who could have improperly sought pandemic aid loans, the Monetary Trade Regulatory Authority has barred a 19-year ex-Merrill Lynch dealer...