Results

 
$220,000 Nelson v Stifel, Nicolaus Churning / Overconcentration Award

In June 2018, a FINRA arbitration panel in Omaha, NE ordered Stifel, Nicolaus & Co. to pay the Claimant $144,967 in compensatory damages, $47,839 in attorneys' fees and $23,384 in costs including expert witness costs over the concentration of his accounts in speculative securities and alleged churning. The panel also assessed all hearing costs to the Respondent. Dr. McCann on liability and damages.

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Craig J. McCann
Principal703.246.9381