STEVEN HOWARD WINE is currently employed as a Broker and/or Investment Adviser at STIFEL, NICOLAUS & COMPANY, INCORPORATED located at 70 WEST MADISON STREET, SUITE 2400, CHICAGO, IL, 60602.
STEVEN HOWARD WINE has worked at STIFEL, NICOLAUS & COMPANY, INCORPORATED since June 19, 2014
Disclosure History
STEVEN HOWARD WINE has 2 Disclosure Event(s).
Date: June 20, 2016 Category: Regulatory
Date: June 05, 2014 Category: Employment Separation After Allegations Firm Name: UBS FINANCIAL SERVICES INC. Termination Type: Permitted to Resign Allegations: MR. WINE WAS PERMITTED TO RESIGN AFTER THE FIRM LEARNED THAT HE SIGNED CLIENT NAMES TO ALTERNATIVE INVESTMENT FUND QUARTERLY REDEMPTION FORMS ON THE CLIENTS' BEHALF. THE FIRM SUBSEQUENTLY OBTAINED NEW DOCUMENTATION, SIGNED BY THE CLIENTS, WHICH WAS SUBMITTED TO THE FUND COMPANY. Broker Comment: Mr. Wine has no personal knowledge of what UBS did subsequent to his resignation.
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