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23 Jun 2014, 7:08 am
Here are the materials so far in Stifel, Nicolaus & Company, Incorporated v. [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
Stifel Nicolaus and Century Securities are affiliates and are both owned by Stifel Financial Corporation. [read post]
24 Oct 2018, 6:19 pm
Stifel Nicolaus & Co. [read post]
21 Sep 2009, 1:24 pm
Stifel Nicolaus fired Harrison when the thefts were discovered. [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]
11 Mar 2010, 7:32 pm
Stifel, Nicolaus and Co. [read post]
29 Dec 2009, 12:08 pm
NASAA today announced that a settlement in principle has been reached between Stifel, Nicolaus & Co., Inc. and state securities regulators to provide relief for the firm’s clients who have had their funds frozen in the auction rate securities (ARS)... [read post]
30 May 2008, 4:25 pm
Scottrade, Stifel Nicolaus and Edward Jones may have offered and sold auction-rate securities to the public as highly liquid cash-management instruments and as suitable alternatives to money market mutual funds. [read post]
29 Sep 2020, 2:17 pm
Securities Experts Roundtable The Expert’s Examiner Stifel, Nicolaus & Co. v. [read post]
13 Dec 2013, 4:31 am
Stifel, Nico... [read post]
9 Dec 2016, 10:05 am
Baird & Co. in Milwaukee, WI from 03/2007 – 09/2011 and he was registered with Stifel, Nicolaus & Co. in Milwaukee, WI from 04/2000 – 03/2007. [read post]
15 Nov 2014, 12:01 pm
From August 2008 until October 2013, Head managed a Stifel Nicolaus trust account for customer ‘ML,’ who was a retiree born in 1936. [read post]
30 Apr 2014, 6:45 am
Coolidge (Coolidge) of Stifel, Nicolaus & Company, Incorporated (Stifel Nicolaus) concerning allegations that Coolidge effected trades in the accounts of three customers without obtaining prior written authorization from the customers and without the accounts being discretionary accounts. [read post]
17 May 2019, 12:43 pm
Weller and his company had an arrangement since 2009 with Missouri-based broker-dealer Stifel, Nicolaus & Company. [read post]
10 Aug 2011, 6:31 pm
Three years after five Wisconsin school districts filed their securities fraud lawsuit against Stifel, Nicolaus & Company and the Royal Bank of Canada, the Securities and Exchange Commission has filed charges against the brokerage firm and former Stifel Senior Vice President David W. [read post]
25 Jun 2009, 1:53 pm
Edwards and Stifel Nicolaus has pleaded guilty to mail fraud. [read post]
28 May 2020, 12:52 pm
The post Stifel Nicolaus & Co. [read post]
8 Oct 2019, 1:02 pm
Blumberg was registered with Stifel during the time of the events, located in the downtown Baltimore office of Stifel, Nicolaus & Company, Incorporated. [read post]
19 Mar 2009, 9:56 am
Stifel Financial Corp says that subsidiary Stifel Nicolaus & Co. [read post]
