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Search Results: Stifel
Results 40-50 of about 71
Date: March 31, 2015
Investor Fraud News: NFL Free Agent Sues Bank of America For $20M, FINRA Arbitration Panel Awards $1.3M to Investor in Case Involving Ex-Stifel Broker, and Tony Thompson and His Brokerage Firm are Barred from Industry
Date: November 3, 2014
Morgan Securities (JPM) , and Stifel Nicolaus & Co. (SF), for the improper sales of Puerto Rican junk bonds . A $100,00 minimum denomination had been established in junk bonds of $3.5 billion made by Puerto Rico several months ago.
Date: June 23, 2014
A Financial Industry Arbitration Panel says that Stifel Financial Corp. (SF) , the brokerage unit of Stifel Nicolaus, must pay $2.7 million to, Sean Horrigan. Stifel’s ex-head trader claims that the brokerage firm defamed him and withheld his bonus without ...
Date: April 18, 2014
A number brokerage firms, including Morgan Stanley Wealth Management, LPL Financial (LPLA), and Stifel Nicolaus (SF) have responded to the Securities and Exchange Commission’s request for comments about FINRA-proposed rule about broker compensation.
Date: January 14, 2014
Financial Industry Regulatory Authority says that Century Securities Associates, Inc. and Stifel, Nicolaus & Company, Inc. must pay almost $1 million over the sale of inverse and leveraged exchange-traded funds. Stifel Financial Corporation (SF) owns both firms.
Date: December 30, 2012
Clearing House Association More Blog Posts: SEC Inquiring About Wisconsin School Districts Failed $200 Million CDO Investments Made Through Stifel Nicolaus and Royal Bank of Canada Subsidiaries , Stockbroker Fraud Blog, June 11, 2010 Wisconsin School Districts Sue Royal Bank ...
Date: April 3, 2012
CFTC Deals Out Royal Pain , Wall Street Journal, April 3, 2012 RBC Sued by US Regulators Over Wash Trades, Bloomberg Businessweek, April 3, 2012 More Blog Posts: SEC Inquiring About Wisconsin School Districts Failed $200 Million CDO Investments Made ...
Date: March 15, 2012
(Prior to working at AXA, he was registered with Stifel, Nicolaus & Co., Inc. and UBS PaineWebber, Inc.) The SRO believes that AXA also knew that Neely was having financial problems at the time. Neely was permanently barred by FINRA ...
Date: October 26, 2011
Morgan Stanley Wins Dismissal of Virgin Islands Pension Fund’s CDO Lawsuit , Bloomberg, September 30, 2011 More Blog Posts: Stifel, Nicolaus & Co. and Former Executive Faces SEC Charges Over Sale of CDOs to Five Wisconsin School Districts , Stockbroker ...
Date: September 23, 2011
More Blog Posts: Citigroup’s $285M Mortgage-Related CDO Settlement with Raises Concerns About SEC’s Enforcement Practices for Judge Rackoff , Institutional Investor Securities Blog, November 9, 2011 Retirement Fund’s CDO Lawsuit Against Morgan Stanley is Dismissed by District Court , Institutional ...
