Search for: "Sterne, Agee"
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31 Mar 2016, 12:11 pm
From January 2011 until June 2013 Schultz was registered with Sterne Agee Financial Services, Inc. [read post]
9 Sep 2015, 6:17 am
Thereafter, Sabourin was associated with Sterne Agee Financial Services, Inc. from February 2011, until December 2012. [read post]
12 Aug 2015, 9:08 am
– $400,000 Sterne, Agee & Leach, 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 Sterne Agee & Leach Stifel Nicolaus &… [read post]
3 Jun 2015, 7:55 am
With the recent focus by the SEC and FINRA on cybersecurity for broker-dealers and investment advisers as a backdrop, FINRA recently brought and settled an enforcement action under SEC Regulation S-P against broker-dealer Sterne, Agee & Leach, Inc. [read post]
28 May 2015, 3:24 am
A recent FINRA regulatory settlement involving a trip to the bathroom and a forgotten laptop perfectly illustrates this challenge.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Sterne, Agee & Leach, Inc., submitted a Letter ... [read post]
24 Feb 2015, 7:00 am
Sterne Agee brings 730 financial advisers and independent representatives that manage more than $20 billion in client assets.For more information, see St.Louis-based Stifel Financial to acquire Sterne Agee [read post]
23 Feb 2015, 2:15 pm
Louis company said Monday that buying Sterne Agee adds more than 700 financial ... [read post]
23 Jul 2014, 8:59 am
It’s unclear from the report whether Mustaphalli investors were Sterne Agee customers. [read post]
15 Jul 2014, 6:30 am
After he was fired from Sterne Agee, Mustaphalli continued to solicit clients for the fund through Mustaphalli Advisory Group. [read post]
15 Jul 2014, 6:27 am
The attorneys at Gana LLP are investigating claims that former Sterne Agee Financial Services Inc. [read post]
7 Mar 2014, 7:40 am
FINRA alleged that Sterne Agee had access to its clearing firm’s additional exception reports but that Sterne Agee failed to use those reports. [read post]
7 Mar 2013, 5:54 am
SEC accounting charges for $1 mln Fired Sterne Agee CFO sues former employer, CEO Holbrook for defamation, fraud, breach of contract, conversion SEC Charges Three Former Bank Executives in Virginia for Understating Loan Losses During Financial CrisisSEC Charges Virgin Islands-Based Investment Adviser with Defrauding Clients [read post]
9 Feb 2013, 5:21 pm
Some analysts, such as John Nadel at Stern Agee and Leach in New York, think that California may now push Assurant to lower their rates even further after the recent news about other insurance companies. [read post]
7 Jul 2012, 1:41 am
Apple was putting design first in an effort to make products smaller and have batteries last longer, said Shaw Wu an analyst at Sterne Agee. [read post]
22 May 2012, 4:15 am
From Bill Singer, BrokeAndBroker.com:I just received the press release below. [read post]
24 Aug 2011, 10:12 am
“The truck-driver population is growing at less than 1 percent a year,” said Jeff Kauffman, a Sterne Agee & Leach Inc. [read post]
3 Aug 2011, 1:27 am
Sterne, Agee & Leach, Inc., No. 10-CV-8881(SAS) (S.D.N.Y. 2011). [read post]
9 Jan 2011, 7:55 pm
"A lot of these little banks that took Tarp are stuck," said Matthew Kelley, an analyst at Sterne, Agee & Leach Inc. [read post]
4 Jun 2010, 2:45 pm
The bow and stern of your craft are required to be marked with white lanterns or lights to warn other boats. [read post]
