Search for: "Stifel Nicolaus & Co Inc"
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17 Mar 2024, 7:14 pm
Stifel Nicolaus & Co Inc. [read post]
31 Jan 2024, 11:31 am
– $13.5 million, Stifel Nicolaus & Company, Inc. [read post]
28 Sep 2023, 1:18 pm
Dagostino allegedly was a broker for Oppenheimer & Co., Inc., in Melville, New York, from 2005 to 2010. [read post]
28 Sep 2023, 1:18 pm
Dagostino allegedly was a broker for Oppenheimer & Co., Inc., in Melville, New York, from 2005 to 2010. [read post]
28 Sep 2023, 1:18 pm
Dagostino allegedly was a broker for Oppenheimer & Co., Inc., in Melville, New York, from 2005 to 2010. [read post]
1 Sep 2023, 6:07 am
Inc. [read post]
4 May 2023, 7:46 am
Stifel, Nicolaus, & Company, Inc., is an independent broker dealer registered in Massachusetts (CRD No. 793). [read post]
21 Apr 2023, 6:20 am
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]
22 Sep 2022, 9:23 am
Joseph Pratt Stifel Nicolaus & Co Inc Wells Fargo Advisors LLC Joseph Valdini Aegis Capital Corp. [read post]
21 Jul 2021, 12:49 pm
Citigroup Global Markets, Inc. and Jefferies LLC are also acting as book-running managers for the offering, and Canaccord Genuity LLC, Cowen and Company, LLC, Needham & Company LLC, Stifel, Nicolaus & Company, Incorporated and Loop Capital Markets LLC are acting as co-managers for the offering. [read post]
6 Jun 2021, 5:28 pm
Inc., Stifel Nicolaus & Company and Truist Securities will act as co-managers for the proposed offering. [read post]
19 Feb 2021, 7:40 am
Stifel, Nicolaus & Company, Incorporated Sterne, Agee & Leach, Inc. [read post]
6 Jan 2021, 6:00 am
Stifel Nicolaus Canada Inc., the court rejected a 27% drop in oil prices as a valid material adverse change citing that such changes are expected in a volatile industry. [read post]
28 May 2020, 12:52 pm
The post Stifel Nicolaus & Co. [read post]
26 May 2020, 2:08 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5240/securities-industry-commentator/FINRA Arbitration Has More In and Out Than A Porn Film (BrokeAndBroker.com Blog)FINRA Sanctions Stifel, Nicolaus & Co., Inc. [read post]
26 May 2020, 2:08 am
FINRA Arbitration Has More In and Out Than A Porn Film (BrokeAndBroker.com Blog)FINRA Sanctions Stifel, Nicolaus & Co., Inc. [read post]
1 Nov 2019, 5:49 am
Cohen is registered as both a Broker and an Investment Advisor, and has been registered at the following firms: Stifel, Nicolaus & Company, Inc., Melville, New York– May 14, 2015 to March 4, 2019Janney Montgomery Scott LLC, Melville, New York– September 14, 2007 to May 15, 2015Oppenheimer & Co., Inc., Melville, New York– March 14, 2003 to September 18, 2007 Wachovia Securities, Inc., St. [read post]
1 Nov 2019, 5:49 am
Cohen is registered as both a Broker and an Investment Advisor, and has been registered at the following firms: Stifel, Nicolaus & Company, Inc., Melville, New York– May 14, 2015 to March 4, 2019Janney Montgomery Scott LLC, Melville, New York– September 14, 2007 to May 15, 2015Oppenheimer & Co., Inc., Melville, New York– March 14, 2003 to September 18, 2007 Wachovia Securities, Inc., St. [read post]
17 Sep 2019, 10:18 am
Stifel, Nicolaus & Co., 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]
16 Sep 2019, 12:20 pm
The Securities and Exchange Commission today announced that Stifel, Nicolaus & Co., 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]
