James Cvetkovic Terminated from Stifel Financial

James Cvetkovic (CRD# 5387856) is a certified financial planner and investment advisor representative who was formerly associated with Stifel, Nicolaus & Company, Incorporated. However, recent events have led to his termination by the firm. This article will delve into the circumstances surrounding Cvetkovic’s termination and any complaints and lawsuits associated with his professional conduct. Background […]

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Stifel Financial Ordered to Pay $3.2M Over Broker Joseph Crespi’s “Predatory Sales Practices” Towards Elderly Investors

Recently, Stifel, Nicolaus & Co., referred to as Stifel Financial, was fined $3.2 million by the Massachusetts state securities regulator for ignoring red flags about a broker, Joseph Crespi, who was allegedly engaged in “predatory sales practices” towards elderly investors. The regulator also censured the company for public and ordered it to pay restitution to

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Brian Engstrom | Stifel, Nicolaus & Co: SUSPENDED

Haselkorn & Thibaut, P. A., is investigating potential sales practice and supervision issues related to a former financial advisor, Brian Engstrom who was previously with Oppenheimer & Co., Inc. (2002-2016) and with Stifel, Nicolaus & Company (2016-2020) in Tampa, FL. The attorneys of Haselkorn & Thibaut have been investigating potential sales practice and supervision issues

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