Search for: "Stifel Nicolaus & Co Inc"
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21 Aug 2018, 1:21 pm
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]
20 Jul 2018, 7:18 am
Inc. [read post]
11 May 2018, 1:47 pm
Krueger II was previously employed at Stifel, Nicolaus & Co., Inc. from 2001 to 2015. [read post]
9 Apr 2018, 10:02 am
Jeffery Alan Fanning, according to FINRA records online, was previously registered with Kennedy, Cabot & Co., Rowland, Simon & Co., Stifel, Nicolaus & Company, Inc., Wilshire Discount Securities, Thomas F. [read post]
6 Mar 2018, 8:13 am
Stifel Nicolaus & Company, Inc. [read post]
10 Jan 2018, 4:40 pm
Stifel, Nicolaus & Company, Inc. [read post]
21 Aug 2017, 12:39 pm
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]
13 Jun 2017, 3:18 pm
He is currently employed at Stifel Nicolaus & Co., Inc. since November 2011. [read post]
30 Mar 2017, 1:06 pm
” As per FINRA records, she was registered with Sterne, Agee & Leach Inc.in 2014 and subsequently with Stifel, Nicolaus & Co. [read post]
5 Dec 2016, 6:26 am
From July 2007 through November 2009 Deemer was associated with Stifel, Nicolaus & Company, Incorporated. [read post]
19 Oct 2016, 7:26 am
Since March 2016 Obryant was associated with Thompson Davis & Co., Inc out of the firm’s Raleigh, North Carolina office location. [read post]
11 Oct 2016, 1:09 pm
According to FINRA BrokerCheck, Gruenebaum was registered with Stifel, Nicolaus & Company In Zainesville OH from 03/2013 – 06/2016. [read post]
4 Nov 2015, 11:09 am
The recent firms are Edward Jones, Stifel Nicolaus & Co., Janney Montgomery, AXA Advisors, and Stephens Inc. [read post]
30 Oct 2015, 2:04 pm
– $13.5 million in restitution Stifel Nicolaus & Company, Inc. [read post]
8 Sep 2015, 8:07 am
Malecki Law has written about these products in the past, noting that broker-dealer firms such as Stifel, Nicolaus & Co., Inc. and Century Securities Associates Inc. [read post]
12 Aug 2015, 9:08 am
– $80,000 Stifel, Nicolaus & Company, Inc. [read post]
25 Jun 2015, 1:29 pm
Hart and Company Loop Capital Markets Martin Nelson & Co Merchant Capital Merrill Lynch Pierce Fenner & Smith Corporation Morgan Stanley & Co The Northern Trust Company Oppenheimer & Co Raymond James & aSSOCIATES RBC Capital Markets Robert W Baird & Co Raymond James & Associates RBC Capital Markets Robert W Baird & Co Siebert Brandford Shank & Co Smith Hayes Financial Services Corporation Stephens Inc… [read post]
8 Jun 2015, 8:13 am
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]
3 Mar 2015, 7:18 am
Inc. [read post]
16 Jan 2015, 12:01 pm
No.7: Stifel Nicolaus & Co. and its subsidiary, Century Securities Inc. fined for $1 millionReason for Fine: Selling leveraged and inverse ETFs to customers for whom the investments were unsuitable, and not having proper training or written procedures in place to make sure their advisers had an “adequate and reasonable basis” for recommending the products. [read post]
