Articles Posted in Stifel Nicolaus & Company Inc.

Former Stifel, Nicolaus & Company, Inc. Financial Advisor Kurt Gunter Suspended by Finra for Short-Term Trading of Unit Investment Trusts in Customer Accounts
Iorio Law PLLC

FINRA has suspended financial advisor Kurt Jason Gunter (CRD No. 2747789) from the securities industry for three months and fined him $10,000. FINRA alleged that between July 2013 through December 2016, Kurt Gunter engaged in an unsuitable pattern of short-term trading of Unit Investment Trusts in customer accounts. FINRA also alleged that Mr. Gunter signed…

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