Search for: "Stifel, Nicolaus "
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5 Nov 2009, 4:57 pm
Louis Business Journal, November 4, 2009 FINRA Permanently Bars Former Broker for Stifel, Nicolaus & Co. [read post]
3 Oct 2009, 1:37 pm
On October 1, 2009, Colorado Securities Commissioner Fred Joseph announced that the Securities Division had filed a complaint against Stifel, Nicolaus & Company. [read post]
1 Mar 2022, 9:45 am
The post Andrew Elsoffer, Former Stifel Nicolaus Broker, Reportedly Suspended for 2 Years appeared first on The White Law Group. [read post]
27 Aug 2009, 8:45 am
Stifel Nicolaus is downgrading the value of LendingTree, the online service that puts people in touch with a network of lenders, because of potential competition from Google. [read post]
1 Oct 2009, 6:47 pm
Other states, including Colorado and Missouri, have made similar charges against Stifel Nicolaus. [read post]
10 Aug 2011, 11:38 am
Stifel said it would take "15 Enrons" for the securities, which were tied to synthetic C.D.O.s, to fail. [read post]
21 Apr 2020, 11:58 am
A FINRA arbitration panel has ordered Stifel, Nicolaus & Co. and one of their financial advisors to pay a client $800,000.oo for her claim of “being hoodwinked about allowing money to be withdrawn from accounts she held with her estranged husband. [read post]
17 Sep 2019, 10:18 am
Stifel, Nicolaus & Co., Inc. has reportedly agreed to pay $2.7 million and BMO Capital Markets Corp. has reportedly agreed to pay $1.95 million to settle charges. [read post]
8 Jul 2015, 4:14 am
Claimant Stifel Nicolaus sought the $258,676.01 principal due on the Note, interest, attorneys’ fee, and c... [read post]
7 Oct 2008, 8:30 pm
The districts' lawsuit accuses Royal Bank of Canada and Stifel Nicolaus of either negligently or purposely misrepresenting the investments and withholding key information. [read post]
6 Mar 2017, 2:43 am
Since 1975, Stifel has been a registered investment advisor; and among its advisory services, Stifel offers clients the ability to participate in separately managed wrap fee programs through which third-party su... [read post]
11 Jun 2010, 5:05 pm
According to local new services, the US Securities and Exchange Commission is asking five Wisconsin school districts for additional information about the $200+ million in synthetic collateralized debt obligations that they purchased through Stifel Nicolaus and Royal Bank of Canada subsidiaries in 2006. [read post]
26 Feb 2020, 8:24 am
According to FINRA BrokerCheck, Lisowski has been affiliated with Stifel Nicolaus in Pittsburgh, PA since 2007. [read post]
27 May 2020, 6:13 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Rodemer was terminated by his prior employer, Stifel, Nicolaus & Company, Incorporated (Stifel, Nicolaus) concerning his theft and misappropriation of client funds. [read post]
29 Dec 2006, 1:40 am
Louis-based Stifel Nicolaus [read post]
8 Aug 2023, 9:16 pm
Shepherd Smith Edwards and Kantas Structured Product Loss Attorneys Investigates Stifel Nicolaus Broker Chuck Roberts Over Structured Note Sales Customers of Miami Beach Financial Advisor File $23.5M in Investor Loss Lawsuits Our seasoned broker fraud attorneys are looking into claims of losses by investors who purchased structured notes while working with Stifel, Nicolaus & Co. financial advisor Chuck Roberts. [read post]
15 May 2023, 6:31 pm
Did You Work With Ex-Stifel Nicolaus Broker Joseph Crespi and Suffer Investment Losses? [read post]
16 Jun 2011, 6:55 am
Jared Bernstein, Center on Budget & Policy Priorities, and Ron Kruszewski, Stifel Nicolaus & Co., discuss what's holding back the recovery. [read post]
1 Feb 2024, 7:01 pm
INVESTOR ALERT: Clients of Stifel Nicolaus Financial Advisor Chuck Roberts File $38,100,000 In Broker Fraud Lawsuits. [read post]
6 Feb 2008, 2:32 pm
Brokerage firms include Stifel, Nicolaus & Company, Silver Leaf Partners, UBS Investment Bank, Wunderlich Securities, RBC Dain Rauscher, Piper Jaffray, Paulson Investment Company, and Fidelity Capital Markets. [read post]
