• Sean Westbrook, Broker with Stifel, Nicolaus & Co., Named in Customer Dispute Alleging Unsuitable Investment Recommendations
• Scott Fergang, Broker with Stifel, Nicolaus & Co., Suspended by FINRA Following Allegations of Unauthorized Trading
• Brian Engstrom, Formerly of Stifel, Nicolaus & Co., Suspended by FINRA for Unsuitable Short-Term Trading of UITs