Marlin Keith Andrews v. William S. Humber and Stifel, Nicolaus & Co., Inc., FINRA Case #22-01176 - The claimant asserted causes of action including failure to supervise, breach of fiduciary duty, respondeat superior,...more
Aramis Seferian v. Continental Broker-Dealer Corp., FINRA Case #23-00665 - The claimant broker requested expungement of two customer complaints from his CRD record. In an explained decision, the FINRA Panel denied the...more