Search for: "Stifel Nicolaus & Co Inc" Results 1 - 20 of 70
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21 Aug 2017, 12:39 pm by Ken Monington
In In re Stifel, Nicolaus & Co., Inc., Investment Advisors Act Release No. 4665 (admin proc Mar. 13, 2017), the Securities and Exchange Commission (“SEC”) filed an order instituting cease-and-desist proceedings against Stifel, Nicolaus & Co., Inc. [read post]
4 May 2023, 7:46 am by The White Law Group
Stifel, Nicolaus, & Company, Inc., is an independent broker dealer registered in Massachusetts (CRD No. 793). [read post]
21 Apr 2023, 6:20 am by Zamansky LLC
Turner was employed by UBS Financial Services Inc. from March 1996 through October 2021, then employed by Stifel Nicolaus & Co, Inc. from October 2021 to February 2022. [read post]
29 Dec 2009, 12:08 pm by Securites Lawprof
NASAA today announced that a settlement in principle has been reached between Stifel, Nicolaus & Co., Inc. and state securities regulators to provide relief for the firm’s clients who have had their funds frozen in the auction rate securities (ARS)... [read post]
5 Nov 2009, 4:57 pm
Louis Business Journal, November 4, 2009 FINRA Permanently Bars Former Broker for Stifel, Nicolaus & Co. [read post]
7 Oct 2008, 8:30 pm
Five school districts in Wisconsin are suing Stifel Nicolaus & Co., Inc. and Royal Bank of Canada (RBC) for losses incurred after the bank and brokerage firm sold the districts "Credit Default Swaps," (also called "CDS" or complex credit derivatives) worth $200 million resulting in some $150 million in losses. [read post]
17 Sep 2019, 10:18 am by Renae Lloyd
Stifel, NicolausCo., Inc. has reportedly agreed to pay $2.7 million and BMO Capital Markets Corp. has reportedly agreed to pay $1.95 million to settle charges. [read post]
3 Aug 2009, 1:15 pm
The Financial Industry Regulatory Authority has permanently barred a former Stifel, Nicolaus & Co. [read post]
16 Sep 2019, 12:20 pm by Astarita
The Securities and Exchange Commission today announced that Stifel, NicolausCo., Inc. has agreed to pay $2.7 million and BMO Capital Markets Corp. has agreed to pay $1.95 million to settle charges for providing incomplete and inaccurate…Read the Full Press Release--- Visit the Securities Lawyer website. [read post]
1 Jun 2009, 9:10 pm
Another state has filed an individual enforcement against brokerage and investment banking firm Stifel, Nicolaus, & Co. [read post]
8 Jun 2015, 8:13 am by Lax & Neville LLP
  In the United States, Stifel’s broker-dealer clients are currently served through Stifel, Nicolaus & Company, Inc., Keefe Bruyette & Woods, Inc., Miller Buckfire & Co., LLC, and Century Securities Associates, Inc. [read post]
13 Nov 2009, 4:19 pm
Stifel has been working to turn its business into a full-service investment bank and its subsidiary, Stifel, Nicolaus, & Co., recently completed its buy of 56 UBS Financial Services Inc. branches, which it purchased for at least $46 million. [read post]
21 Aug 2018, 1:21 pm by Silver Law Group
Broker Robert Cleary (CRD #1505792) is a currently registered broker with Stifel, Nicolaus & Company, Incorporated (CRD #793) of New York, NY, since 2007. [read post]