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Articles Posted in Stifel Nicolaus & Company Inc.

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

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…

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