Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 20, 2018 indicate that New York-based Stifel Nicolaus & Company broker/adviser Robert Cohen, who has received customer disputes, was recently discharged from his former employer in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Cohen (CRD# 1162192).
Robert Cohen has spent 35 years in the securities industry and has been registered with Stifel Nicolaus & Company in Garden City, New York since October 2018. Previous registrations include UBS Financial Services in Garden City, New York (2008-2018); Morgan Stanley & Company in Jericho, New York (2007-2008); Morgan Stanley DW in Jericho, New York (1990-2007); and Butcher & Singer (1983-1990). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on June 16, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 23, 1983; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 3 (National Commodity Futures Examination), which he obtained on January 25, 1991; Series 7 (General Securities Representative Examination), which he obtained on August 20, 1983; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on August 16, 1994. He is a registered broker and investment adviser with 25 US states and territories: Arizona, California, Colorado, Connecticut, the District of Columbia, Florida, Georgia, Kansas, Maryland, Massachusetts, Michigan, Nevada, New Hampshire, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Rhode Island, Tennessee, Texas, Vermont, Virginia, Washington, and Wisconsin. He is registered with six self-regulatory organizations (SROs): Cboe BZX Exchange Inc., FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.
According to his BrokerCheck report, he was recently discharged from his former employer in connection to alleged rule violations and has received three customer complaints.