Aug 8, 2020
US Tour 2019
Bea Bottom - Emily Kristen Morris
Nick Bottom - Robert Head
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US Tour 2019
Bea Bottom - Emily Kristen Morris
Nick Bottom - Robert Head
Stifel Nicolaus Broker Barred for Churning Account of Elderly Customer Diagnosed with Dementia
Stifel Nicolaus Broker Barred for Churning Account of Elderly Customer Diagnosed with Dementia
October 21, 2014- Robert J. Head, a broker registered with Stifel, Nicolaus & Company, Inc. from 9/2008-1/2014 , submitted a Letter of Acceptance, Waiver and Consent No. 20130389574 (“AWC”) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he made excessive and unauthorized unsuitable trades in the account of an elderly client who was diagnosed with dementia.
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