Search for: "Stifel Nicolaus & Co Inc"
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13 Nov 2014, 12:01 pm
Morgan Securities, Lebenthal & Co., National Securities Corporation, Oppenheimer & Co., Riedl First Securities Co. of Kansas, Stifel Nicolaus & Co., TD Ameritrade, UBS Financial Services, and Wedbush Securities. [read post]
5 Nov 2014, 2:56 pm
– $61,200 Riedl First Securities Co. of Kansas – $130,000 Stifel Nicolaus & Co. [read post]
4 Nov 2014, 7:10 am
Morgan Securities, Lebenthal & Co., National Securities Corporation, Oppenheimer & Co., Riedl First Securities Co. of Kansas, Stifel Nicolaus & Co., TD Ameritrade, UBS Financial Services, and Wedbush Securities.For more information, see the SEC press release and order -SEC Sanctions 13 Firms for Improper Sales of Puerto Rico Junk Bonds - or call our office if you have been an investor in Puerto Rico municipal bonds. [read post]
6 Mar 2014, 11:11 am
DiMercurio Stifel, Nicolaus & Company, Inc. [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]
8 Nov 2013, 1:24 pm
Texas Dep't of Criminal Justice (prisoner, Religious Land Use and Institutionalized Persons Act) * United States Federal Trial Courts Bulletinhttp://www.narf.org/nill/bulletins/dct/currentdct.htmCases featured: Stifel, Nicolaus & Co., Inc. v. [read post]
1 Aug 2012, 5:51 am
Kruszewski Chairman, President & Chief Executive Officer Stifel, Nicolaus & Company, Incorporated 2012 Board at Large Francois O. [read post]
15 Mar 2012, 11:17 pm
(Prior to working at AXA, he was registered with Stifel, Nicolaus & Co., Inc. and UBS PaineWebber, Inc.) [read post]
12 Mar 2012, 6:35 am
There, Wachovia Securities sued four former employees for breach of a non-compete agreement after Wachovia terminated their employment and they left to work for Stifel Nicolaus & Co. [read post]
23 Feb 2012, 9:18 am
The FINRA Award resulted from a raiding claim brought by Wachovia against Stifel Nicolaus & Co. [read post]
14 Nov 2011, 2:13 pm
An action against Stifel, Nicolaus andamp; Co.andnbsp;and RBC Capital Marketsandnbsp;involved the sale of unsuitable CDO investments to five Wisconsin school districts Six executives at Brooke Corp., and three executives at mortgage lender IndyMac Bancorpandnbsp;were charged by the SEC with misleading investors about the worsening financial conditions at their companies. [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 Aug 2011, 3:22 pm
The SEC charged Stifel, Nicolaus & Co., Inc., a St. [read post]
3 Nov 2010, 1:06 pm
Well, you stick to being an agrarian economy and you don’t charter a national bank “There is a lot of thought going into trying to figure out what the Fed is going to do,” said Martin Mitchell, head government bond trader at the Baltimore unit of Stifel Nicolaus & Co., a St. [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]
5 Jul 2010, 6:27 am
Stifel Nicolaus & Co.), Jesup & Lamont Securities Corp., Jeffries & Company, Inc., Raymond James & Associates, Inc., and Robert W. [read post]
18 Mar 2010, 6:38 am
Stifel, Nicolaus & Co. [read post]
11 Mar 2010, 7:32 pm
Stifel, Nicolaus and Co. [read post]
28 Jan 2010, 5:17 pm
Brash III denied all motions to dismiss claims in the lawsuit filed against Stifel, Nicolaus & Co. [read post]
29 Dec 2009, 12:08 pm
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]
