Pratt is accused of negligence, breach of fiduciary duty, and other law violations. The Sonn Law Group is investigating allegations that Joseph Hershey Pratt committed[...]
Stifel Nicolaus & Company
Rodemer agreed to pay a $385K fine for using a client’s account for his personal expenses. The Sonn Law Group is investigating allegations that Steven[...]
Sam Aziz (CRD#: 1721932) is a registered broker and investment advisor. Since July of 2018, Mr. Aziz has been employed at David A. Noyes &[...]
Lynn Faust (CRD#: 729012) is a registered broker and investment advisor. She is currently associated with Stifel, Nicolaus & Company, based at a branch office[...]
Mitchell Toby Yanow (CRD#: 2148171) served as a broker for Stifel Nicolaus & Company (CRD#: 793) from April 2015 to May of 2018. During this[...]
Stephen Hurtuk (CRD#: 848484) is a former FINRA broker and registered investment advisor (RIA). From 2007 to 2017, Mr. Hurtuk was employed in the securities[...]
Mitchell Yanow (CRD#: 2148171) is a former FINRA broker. From 2015 to 2018, Mr. Yanow was employed at Stifel, Nicolaus & Company in Boca Raton,[...]
Gary Adkin (CRD#: 3084484) is an actively registered securities broker and investment advisor. Since 2015, Mr. Adkin has been employed at Stifel, Nicolaus & Company.[...]