Search for: "Stifel, Nicolaus "
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13 Jun 2017, 3:18 pm
He is currently employed at Stifel Nicolaus & Co., Inc. since November 2011. [read post]
15 Aug 2011, 2:30 pm
Reports of a new poll released by the Stifel Nicolaus research group have got to be worrying AT&T about the prospects of its proposed $39 billion merger with T-Mobile. [read post]
30 Mar 2017, 1:06 pm
” As per FINRA records, she was registered with Sterne, Agee & Leach Inc.in 2014 and subsequently with Stifel, Nicolaus & Co. [read post]
19 Oct 2016, 7:26 am
In January 2016, Stifel Nicolaus discharged Obryant alleging a loss of confidence after settlement of complaint. [read post]
21 Jun 2018, 12:36 pm
His only prior dispute was filed on August 12, 2013, while working for Stifel, Nicolaus & Company, Incorporated (CRD #793). [read post]
24 May 2022, 11:38 am
In late 2021, Turner and his wife joined Stifel, Nicolaus, & Co. [read post]
20 Dec 2007, 12:59 pm
The FTC’s approval of the deal without conditions could push European regulators to take a tougher line, says Rebecca Arbogast, an analyst at Stifel Nicolaus. [read post]
25 Oct 2007, 11:42 am
So it appears that their political largess is a bit more non-partisan than one might believe from the news story.As Mike noted in the same comments section, "Carroll [Thomas Carroll, analyst with Stifel Nicolaus in Baltimore] suspects the raid is potentially the result of a lawsuit in which an employee brought a matter to the attention of authorities. [read post]
6 Jan 2015, 7:50 am
According to this FINRA Broker Report, Head was employed by Wells Fargo Investments from May 2004 through August 2008 and Stifel Nicolaus from August 2008 through January 2014. [read post]
13 Feb 2010, 2:46 pm
The Wisconsin school districts sued Stifel Nicolaus & Co. and Royal Bank of Canada for, among other things, alleged fraud and misrepresentation in connection with the districts’ investments. [read post]
13 Jul 2018, 7:17 am
James entered the securities industry in 2003 and was most recently registered with Stifel, Nicolaus & Company, Incorporated from March 2016 to September 2016. [read post]
27 Dec 2017, 7:36 am
James Cox has over twenty years in the securities industry and was most recently registered with Stifel Nicolaus & Company since July 2015. [read post]
26 Oct 2011, 11:44 pm
Against the Financial Firm, Institutional Investors Securities Blog, August 29, 2011 Stifel, Nicolaus & Co. and Former Executive Faces SEC Charges Over Sale of CDOs to Five Wisconsin School Districts, Stockbroker Fraud Blog, August 10, 2011 [read post]
6 Mar 2018, 8:13 am
Stifel Nicolaus & Company, Inc. [read post]
11 Mar 2019, 2:17 pm
Based on his broker history, he would have been registered with Wells Fargo and Stifel, Nicolaus during the alleged investor fraud. [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]
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 Mar 2012, 9:40 am
Oral argument argued before the Eighth Circuit U.S. [read post]
5 Nov 2014, 2:56 pm
– $61,200 Riedl First Securities Co. of Kansas – $130,000 Stifel Nicolaus & Co. [read post]
23 Mar 2008, 10:15 pm
"He got a lot of people interested in him early on," said Blair Levin, an analyst with Stifel Nicolaus who was a top adviser to Hundt. [read post]
