Search for: "Stifel Nicolaus & Co Inc"
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5 Nov 2014, 2:56 pm
– $61,200 Riedl First Securities Co. of Kansas – $130,000 Stifel Nicolaus & Co. [read post]
15 Jan 2014, 2:22 pm
Of the more than $1 million to be paid, $550,000 comes in the form of a fine to be split by Stifel, Nicolaus & Co., Inc. and Century Securities Associates Inc. [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]
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]
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]
28 Sep 2011, 8:14 am
Louis-based brokerage and investment banking firm, Stifel, Nicolaus & Co., Inc., for its role in the sale of the CDO investments to the school districts. [read post]
10 Jan 2018, 4:40 pm
Stifel, Nicolaus & Company, Inc. [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]
21 Feb 2008, 7:54 am
Tobey Sommer - Suntrust Robinson Humphrey James Janesky - Stifel Nicolaus & Company, Inc. [read post]
19 Feb 2021, 7:40 am
Stifel, Nicolaus & Company, Incorporated Sterne, Agee & Leach, Inc. [read post]
30 May 2007, 4:19 am
“The privacy issue is also the competitive issue,” said Blair Levin, an analyst at brokerage Stifel, Nicolaus & Co., who expects the FTC to approve the purchase. [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]
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]
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]
31 Jan 2024, 11:31 am
– $13.5 million, Stifel Nicolaus & Company, Inc. [read post]
6 Mar 2014, 11:11 am
DiMercurio Stifel, Nicolaus & Company, Inc. [read post]
5 Dec 2016, 6:26 am
From July 2007 through November 2009 Deemer was associated with Stifel, Nicolaus & Company, Incorporated. [read post]
13 Sep 2010, 7:37 pm
Regulatory reforms and the recession’s toll have made it difficult for small banks to raise capital, said Rick Maples, head of investment banking and the financial institutions group at Stifel, Nicolaus & Co. [read post]
