Articles Tagged with Stifel Nicolaus

Richard Botkin

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 23, 2017 indicate that California-based Stifel Nicolaus broker/adviser Richard Botkin has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Botkin (CRD# 1571729).

Richard Botkin has spent 30 years in the securities industry and has been registered with Stifel Nicolaus & Company in Roseville, California since 2015. Previous registrations include Morgan Stanley in Roseville, California; Morgan Stanley & Company in Folsom, California; Wachovia Securities in Folsom, California; Salomon Smith Barney in New York, New York; Lehman Brothers in New York, New York; and E.F. Hutton & Company. He is a registered broker and investment adviser with 11 US states and territories: Arizona, California, Colorado, the District of Columbia, Idaho, Indiana, Ohio, Oregon, Texas, Virginia and Washington.

According to his BrokerCheck report, Richard Botkin was recently sanctioned by FINRA.

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