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21 Aug 2017, 12:39 pm
Stifel learned that a “number of sub-advisers placed a majority of client trades with broker-dealer firms other than Stifel for execution while incurring additional trading costs. [read post]
17 Mar 2024, 7:14 pm
Stifel Nicolaus & Co Inc. [read post]
9 Jan 2007, 5:31 am
Stifel, which is based in St. [read post]
23 Feb 2015, 2:15 pm
Stifel Financial Corp. is buying rival financial services firm Sterne Agee for $150 million in its latest deal. [read post]
4 May 2023, 7:46 am
Stifel paid a fine of $300,000 and make written offers of remuneration to the harmed customers. [read post]
14 Nov 2023, 7:30 am
FINRA Claim filed against Stifel, Nicolaus & Co. [read post]
23 Jun 2014, 7:08 am
Wis.): 1 Stifel Complaint 10 LCO Motion to Dismiss or Stay 13 LCO Tribal Court Motion to Dismiss or Stay 14 Stifel Response 18 LCO Tribal Court Reply 19 LCO Reply 25 Stifel Motion for PI 29 Joint Stipulation re Stay of Tribal Court Proceedings 30 DCT Order Allowing Dismissal of Prior Motions wo Prejudice 38 Stifel Motion for Summary J 44 LCO Opposition 49 Stifel Reply 76 DCT Order An excerpt: Plaintiff Stifel, Nicolaus & Company, Inc. [read post]
5 Nov 2009, 10:48 am
Stifel Financial Corp., which has been expanding its Stifel Nicolaus & Co. retail-brokerage business, is about to make a push into serving registered investment advisers. [read post]
11 Aug 2011, 2:50 pm
The SEC is alleging that Stifel and Senior Vice President David W. [read post]
2 Mar 2009, 12:13 am
Louis Business Journal, Stifel may buy more auction rate securities from its clients, pursuant to its voluntary repurchase plan. [read post]
26 Apr 2010, 5:50 am
Stifel Financial, the brokerage house based in St. [read post]
24 Feb 2015, 7:00 am
Louis-based Stifel Financial announced it has entered a definitive merger agreement to acquire Birmingham's Sterne Agee Group Inc. in a $150 million deal. [read post]
21 Sep 2020, 7:35 am
District Court for the District of Colorado entered a final judgment by consent against ex-Stifel investment adviser Steven D. [read post]
5 Feb 2018, 1:37 pm
Silver Law Group is investigating former Stifel, Nicolaus & Company, Inc. [read post]
5 Mar 2018, 1:47 pm
Stifel Nicolaus & Company broker/adviser William Harrison is involved in a pending customer dispute. [read post]
16 Dec 2020, 12:39 pm
Stifel and FINRA entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) on May 27, 2020, over allegations that between January 2012 and December 2016, Stifel violated FINRA rules. [read post]
10 Aug 2011, 3:22 pm
The SEC charged Stifel, Nicolaus & Co., Inc., a St. [read post]
22 Feb 2019, 11:19 am
The recruits will operate from a new Cincinnati office.https://onwallstreet.financial-planning.com/news/730-million-ubs-team-jumps-to-stifel [read post]
24 Oct 2018, 8:37 am
The post Andrew Elsoffer Oil and Gas Recommendations While With Stifel Nicolaus? [read post]
5 Feb 2018, 1:45 pm
Silver Law Group has filed a securities arbitration claim against Stifel, Nicolaus & Company, Inc. [read post]
