Search for: "STIFEL, NICOLAUS & COMPANY, INC."
Results 61 - 77
of 77
Sort by Relevance
|
Sort by Date
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]
14 Nov 2014, 6:07 am
The Financial Industry Regulatory Authority (FINRA) in an acceptance, waiver, and consent action (AWC) and barring former Stifel, Nicolaus & Company, Inc. [read post]
23 Jun 2014, 7:08 am
Here are the materials so far in Stifel, Nicolaus & Company, Incorporated v. [read post]
6 Mar 2014, 11:11 am
DiMercurio Stifel, Nicolaus & Company, Inc. [read post]
12 Feb 2014, 5:45 am
The Financial Industry Regulatory Authority (FINRA) ordered brokerage firms Stifel, Nicolaus & Company, Incorporated (Stifel Nicolaus) and Century Securities Associates, Inc. [read post]
9 Jan 2014, 7:51 am
Louis-based broker-dealers – Stifel, Nicolaus & Company, Incorporated and Century Securities Associates, Inc. [read post]
13 Dec 2013, 4:31 am
A Matter Of PrivilegeAs to the specific issue that made its way into the Court’s Order, it apparently involved Defendant Stifel, Nicolaus & Company, Inc.’s (“Stifel”) production of a privilege log listing hundreds of pages of documents that the firm contends are protected by the attorney-client privilege or the work product doctrine. [read post]
30 Sep 2013, 7:28 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in September 2012, Claimant DiMercurio asserted failure to supervise; unauthorized trading; and lack of due diligence and/or churning in connection with her contentions that Respondent Stifel, Nicolaus & Company, Inc. had failed to supervise its financial advisor Harrison. [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]
14 Nov 2011, 2:13 pm
Also, a member of the board of Mariner Energy Inc., an oil and gas company, was charged for trading on confidential information about its impending takeover. [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]
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]
13 Nov 2009, 4:19 pm
Stifel has been working to turn its business into a full-service investment bank and its subsidiary, Stifel, Nicolaus, & Co., recently completed its buy of 56 UBS Financial Services Inc. branches, which it purchased for at least $46 million. [read post]
13 Aug 2008, 4:39 pm
(NYSE: SF) and Stifel, Nicolaus & Company, Inc. between June 11, 2003 and Feb. 13, 2008 and who continued to hold the securities as of Feb. 13, 2008. [read post]
21 Feb 2008, 7:54 am
Tobey Sommer - Suntrust Robinson Humphrey James Janesky - Stifel Nicolaus & Company, Inc. [read post]
6 Aug 2007, 4:46 am
” Blair Levin, an analyst at brokerage Stifel, Nicolaus & Co., said competitors such as Microsoft Corp. are trying to take advantage of the edge they have over Google in the nation’s capital. [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]
