Displaying 86 results
Wells Fargo team managing $1.15 billion exits to Stifel
Stolz-Smith Financial Consulting Group is opening a branch in Midland, Michigan
Stifel adds three Merrill advisers
Dallas duo manages $128 million; Missouri-based adviser manages $115 million
Don’t count Trump out, but adviser pundits make Biden favorite to win
Valliere, Gardner see a narrow Electoral College victory for the former vice president
Five-adviser Merrill team managing $280 million joins Stifel
The Bonnette group is opening an office for the firm in Audubon, New Jersey
Former Stifel broker ordered to pay $385,536 for fraud
SEC complaint charged Steven Rodemer with stealing funds from elderly client
Three UBS advisers managing $1 billion move to Stifel
The team of Gary Bice and Michael Leach and a solo adviser, John Prebay, join in Southfield, Michigan
Stifel snags $935 million adviser team from Merrill Lynch
The four-person adviser team marks the third to transition away from the wirehouse in favor of the independent platform this year
Finra orders Stifel to pay $3.6 million for violations in sales of unit investment trusts
About $1.9 million goes to harmed customers, an emphasis for the new Finra enforcement director
Adviser managing $350 million at Wells Fargo moves to Stifel
Randy Seymour will open an office for the firm in Ebensburg, Pa.
Stifel team managing $800 million moves to Wells Fargo
Manuel Palan, Pamela Glaser and Danny Shoshnik will be based at St. Louis headquarters.
Wells Fargo reps managing $280 million move to Stifel
Brokers join firm in Macon, Ga., Greensboro, N.C., and Brevard, N.C.
Wells Fargo reps managing $280 million move to Stifel
Brokers join firm in Macon, Ga., Greensboro, N.C., and Brevard, N.C.
Finra panel orders Stifel to pay $1.5 million to clients
Sum constitutes compensatory damages for breach of duties.
Finra panel orders Stifel to pay $1.5 million to clients
Sum constitutes compensatory damages for breach of duties.
Finra bars former Wells Fargo broker for insider trading
Joseph Pratt of Conshohocken, Pa., used private information from clinical trials.
Morgan Stanley team managing $345 million moves to Stifel
Five-advisor Huggins Winders Group joins firm in Tallahassee, Fla.
Stifel to acquire assets of Kansas City-based B-D
Acquisition focuses on George K. Baum & Company's muni business.
Wells Fargo brokers managing $671 million leave for Stifel
Reps join offices in California, Michigan and Pennsylvania.
Merrill Lynch reps managing $590 million move to Stifel
Two advisers based in Dallas will open office in Frisco, Texas.
Team managing $571 million at Merrill Lynch moves to Stifel
Two-rep, five-person group joins firm in Sugar Land, Texas.
