Stifel Nicolaus & Co » News for Investors

Sean Westbrook, Broker with Stifel, Nicolaus & Co., Named in Customer Dispute Alleging Unsuitable Investment Recommendations

Jeffrey Sonn
May 10, 2021
Posted in Broker / Advisor Investigations

The client is seeking $101K in damages in connection with the allegations. Sean Westbrook (CRD: 5090374) is registered as a broker and investment adviser with[...]

Scott Fergang, Broker with Stifel, Nicolaus & Co., Suspended by FINRA Following Allegations of Unauthorized Trading

Jeffrey Sonn
May 03, 2021
Posted in Broker / Advisor Investigations

Fergang is accused of making 814 transactions in four customers’ accounts. Scott Fergang (CRD: 1758758) is registered as a broker and investment adviser with Stifel,[...]

Brian Engstrom, Formerly of Stifel, Nicolaus & Co., Suspended by FINRA for Unsuitable Short-Term Trading of UITs

Jeffrey Sonn
Apr 24, 2020
Posted in Broker / Advisor Investigations

Engstrom was suspended for three months and ordered to pay a $5,000 fine. The Sonn Law Group is investigating allegations that Brian Engstrom made unsuitable[...]