Search for: "Stifel Financial Corp."
Results 1 - 20
of 39
Sorted by Relevance
|
Sort by Date
5 Nov 2009, 10:48 am
Stifel Financial Corp., which has been expanding its Stifel Nicolaus & Co. retail-brokerage business, is about to make a push into serving registered investment advisers. [read post]
18 Feb 2016, 6:57 am
"Stifel Financial Corp. [read post]
8 Jun 2015, 8:13 am
On June 8, 2015, Stifel Financial Corp. [read post]
23 Feb 2015, 2:15 pm
Stifel Financial Corp. is buying rival financial services firm Sterne Agee for $150 million in its latest deal. [read post]
13 Aug 2008, 4:39 pm
Stifel Financial Corp., et al., 08-cv-01167, is pending in the U.S. [read post]
9 Sep 2009, 1:29 am
Stifel Financial Corp. said Wednesday it plans to launch a public offering of 1.2 million shares of common stock. [read post]
13 Nov 2009, 4:19 pm
Even as Stifel Financial Corp. continues to deal with securities fraud lawsuits and claims accusing the broker-dealer of misrepresenting the risks associated with investing in auction-rate securities, the company exhibited a 73% increase in 3rd quarter earnings due to a growth in transaction revenue. [read post]
6 Jul 2009, 2:21 pm
According to Stifel Financial Corp., 95% of its clients with frozen auction-rate securities have indicated that they will accept its offer to buy back the investments over a three-year period. [read post]
19 Mar 2009, 9:56 am
Stifel Financial Corp says that subsidiary Stifel Nicolaus & Co. [read post]
30 Apr 2010, 10:26 pm
Related Web Resources: Stifel backs off recruiting wars -- and profits soar, Investment News, April 29, 2010 Stifel Financial Corp. [read post]
1 Jun 2009, 9:10 pm
Meantime, state officials are looking into whether TD Ameritrade Holding Corp., Charles Schwab Corp., and E*Trade Financial Corp also engaged in ARS-related violations. [read post]
28 Jun 2018, 1:00 pm
Louis, MO; and First Union Capital Markets Corp. [read post]
9 May 2023, 2:21 pm
Morris was involved in a FINRA arbitration brought by his former employer, UBS Financial Services and UBS Credit Corp. [read post]
11 Oct 2018, 5:03 pm
Former Wells Fargo Broker Faces Elder Investor Fraud Charges The US Securities and Exchange Commission has filed broker fraud-related charges against former John Greg Schmidt, a former broker for Stifel, Nicholaus and Company (SF) and Wells Fargo Financial Network LLC (WFC). [read post]
26 Oct 2011, 11:44 pm
Against the Financial Firm, Institutional Investors Securities Blog, August 29, 2011 Stifel, Nicolaus & Co. and Former Executive Faces SEC Charges Over Sale of CDOs to Five Wisconsin School Districts, Stockbroker Fraud Blog, August 10, 2011 [read post]
6 Oct 2008, 8:43 pm
According to news reports (here), MBIA has filed a lawsuit breach of contract lawsuit in New York state court against Countrywide Financial Corp. [read post]
1 Jul 2019, 12:46 pm
Morgan Keegan & Company, Inc Avent, Meiewyn Alliance-One Investments, LLC Metlife Investors Distribution Company Bougopoulkos, Nicholas Wells Fargo Securities, LLC Stifel Financial Corp Cook, Marian Farmers Financial Solutions, LLC Corley, Robert Fidelity Brokerage Services LLC Redstone Securities, Inc Detamore, Craig Allstate Financial Services, LLC… [read post]
19 Feb 2021, 7:40 am
Aegis Capital Corp. [read post]
16 Aug 2010, 9:17 pm
Many of these securities victims were clients of large brokerage firms, such as UBS, Citigroup Smith Barney, Wachovia, Linsco Private Ledger LPL, Merrill Lynch, UBS, ING, Stifel, and Gun Allen. [read post]
20 May 2020, 1:57 pm
Stifel, Nicolus & Company, Inc Sterne, Agee & Leach, Inc Kievman, Cary Ameriprise Financial Services, Inc Morgan Stanley Smith Barney Krupnick, Jeffrey Ameriprise Financial Services, Inc JHS Capital Advisors, LLC Lake, Jonathan Wells Fargo Clearing Services, LLC Morgan Stanley McCutchen, Jerry Sr. [read post]
