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Stifel, Nicolaus Broker Michael Yanow Barred for Conversion of Customer Funds

Oct 2, 2018
2 min

Stifel, Nicolaus Broker Michael Yanow Barred for Conversion of Customer Funds

Mitchell Toby Yanow (Yanow) submitted a Letter of Acceptance, Waiver and Consent (“AWC”) pursuant to FINRA Rule 9216 of FINRA’s Code of...

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Financial Advisor Coleman Devlin Suspended for Discretionary Trades in Customers’ Accounts

Dec 27, 2017
2 min

Financial Advisor Coleman Devlin Suspended for Discretionary Trades in Customers’ Accounts

The Financial Industry Regulatory Authority (FINRA) recently announced Coleman J. Devlin (Devlin) entered into a Letter of Acceptance,...

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FINRA Suspends Former Stifel, Nicolaus Broker Harold Pomeranz for Unsuitable Short-Term UIT Investme

Sep 15, 2017
2 min

FINRA Suspends Former Stifel, Nicolaus Broker Harold Pomeranz for Unsuitable Short-Term UIT Investme

The Financial Industry Regulatory Authority (FINRA) recently filed a complaint (Disc. Proceeding No. 2016049938201) against former...

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