A former Stifel advisor emerged as the winner of an arbitration case involving back-and-forth claims for damages, two years after her exit from the regional broker-dealer.
Stifel pursued advisor Penney Sick for a clawback, asking an arbitration panel for nearly $260,000 in damages for breach of a promissory note. Sick counterclaimed for damages against Stifel and her former branch manager, James Wohlford, alleging sex and sexual orientation harassment and discrimination, FINRA records show.
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