Stephen Brown and James Goetz, now with Stifel near Rochester, NY, are hit with suspensions and combined fines of $150,000 for investments in brewery and other products without their firm’s authorization.
Ron Kruszewski recommended lower pay for himself and other executives in sympathy with declines suffered by lower-level employees, a regulatory filing says.
Finra imposes industry bar on Long Island broker who failed to disclose a big judgment against her and then kept quiet about a loan she took from a customer.
St. Louis-based bank unit of Stifel Nicolaus is funding securities-backed loans and credit lines set up through Supernova consulting firm.
Four brokers who were managing some $800 million of client assets open office in Detroit suburbs.