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22 Dec 2021, 6:51 am
” The FINRA sweep previously “also hit Merrill Lynch, which paid the lion’s share of the penalties with $11.65 million in fines and restitution, as well as Stifel Nicolaus & Co., Cambridge Investment Research, and Oppenheimer & Co. [read post]
1 Jun 2009, 9:10 pm
Another state has filed an individual enforcement against brokerage and investment banking firm Stifel, Nicolaus, & Co. [read post]
18 Mar 2010, 6:38 am
Stifel, Nicolaus & Co. [read post]
5 Sep 2018, 11:32 am
Stifel, Nicolaus & Co. [read post]
31 Jan 2008, 9:10 am
European regulators are expected to approve Google's proposed acquisition of online ad firm DoubleClick in February despite circulation of a threat assessment report, according to a research note released by Stifel Nicolaus. [read post]
19 Jun 2009, 5:19 am
Folks from the SEC, SIFMA, FINRA and NASAA were present, as well as representatives of dozens of organizations, including Wells Fargo Advisiors, Stifel Nicolaus (one of our clients), Edward Jones, Scottrade, etc. [read post]
26 May 2020, 2:08 am
FINRA Arbitration Has More In and Out Than A Porn Film (BrokeAndBroker.com Blog)FINRA Sanctions Stifel, Nicolaus & Co., Inc. [read post]
26 May 2020, 2:08 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5240/securities-industry-commentator/FINRA Arbitration Has More In and Out Than A Porn Film (BrokeAndBroker.com Blog)FINRA Sanctions Stifel, Nicolaus & Co., Inc. [read post]
28 Jun 2018, 1:00 pm
” His previous employers include Stifel, Nicolaus & Company, Incorporated (CRD #793), also of Dayton, OH; First Union Securities, Inc. [read post]
13 Jan 2018, 1:53 pm
Richard Botkin, a registered representative from Granite Bay, California, with Stifel, Nicolaus & Company and formerly with Morgan Stanley, was suspended from FINRA membership as a result of an investigation into his participation in private dealings without obtaining his firm’s approval, which is a violation of FINRA rules. [read post]
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]
31 Aug 2022, 7:08 am
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that broker Michael Anthony Fahsholtz (Fahsholtz), most recently employed by Stifel, Nicolaus & Company, Inc. [read post]
3 Mar 2015, 7:18 am
Both actions arose from a take-private transaction involving Dole Food Company, Inc.The defendants identified Stifel, Nicolaus & Company, Incorporated (Stifel), as their “expert witness” on the subject of Dole’s valuation and served an opening expert report that identified the corporation as its author. [read post]
14 Sep 2020, 7:14 am
Former Stifel Nicolaus Broker Steven Dale Rodemer Barred By SEC for Alleged Fraud On September 11, one week after it filed the complaint against former Colorado broker Steven Rodemer bringing allegations of fraud, the United Securities and Exchange Commission (SEC) issued an order barring him from association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or NRSRO, or participation in any offering of a penny stock. [read post]
14 Sep 2020, 7:14 am
Former Stifel Nicolaus Broker Steven Dale Rodemer Barred By SEC for Alleged Fraud On September 11, one week after it filed the complaint against former Colorado broker Steven Rodemer bringing allegations of fraud, the United Securities and Exchange Commission (SEC) issued an order barring him from association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or NRSRO, or participation in any offering of a penny stock. [read post]
16 Jul 2018, 8:03 am
A parallel SEC civil case continues.87 Year Old Stifel Nicolaus Customer, His Stockbroker, and 33 Blank Account Checks (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4084/finra-awc-elderly/Let's see if you ca... [read post]
20 Jul 2018, 7:18 am
Former broker and investment advisor Mitchell Toby Yanow (CRD #2148171) was last employed by Stifel, Nicolaus & Company, Incorporated (CRD #793) of Boca Raton, FL. [read post]
15 Sep 2015, 6:30 am
From March 2006, until January 2014, Hornyak was associated with Stifel, Nicolaus & Company, Incorporated. [read post]
1 Sep 2023, 6:07 am
Chuck Roberts (CRD# 2064602) is a registered broker and investment advisor currently employed with Stifel, Nicolaus & Company, Incorporated (CRD# 793) of New York, NY. [read post]
22 May 2009, 11:38 am
The state of Virginia has sued Stifel, Nicolaus & Company on behalf of investors in the state who purchased over $8 million worth of auction rate securities from the firm. [read post]
