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Search Results: Stifel
Results 50-60 of about 71
Date: September 7, 2011
Securities Fraud Research and Training By the Book on Amazon.com More Blog Posts: SEC Charges Filed in $22M Ponzi Scam that Targeted Florida Teachers and Retirees , Stockbroker Fraud Blog, August 29, 2011 Stifel, Nicolaus & Co. and Former Executive ...
Date: August 27, 2011
Financial firms that reached settlements then include: • Goldman Sachs • Banc of America • Credit Suisse • Citigroup • JP Morgan • Deutsch Bank • Morgan Stanley • Merrill Lynch • RBC • UBS • Stifel Nicolaus & Co. ...
Date: August 10, 2011
Robert Kantas, partner of Shepherd Smith Edwards & Kantas LTD LLP , is one of the attorneys representing the school districts in their civil case against Stifel and RBC.
Date: August 9, 2011
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 ...
Date: February 17, 2011
and Germany Press EU to Ban Naked Short Selling of Stocks and Limit Credit Default Swaps , Stockbroker Fraud Blog, July 8, 2010 The Financial Regulation Reform Act of 2008 Seeks to Regulate Investment-Bank Holding Companies and Credit Default Swaps ...
Date: August 23, 2010
Investors who purchased this fund were clients of UBS, Citigroup Smith Barney, Wachovia, Linsco Private Ledger LPL, Merrill Lynch, UBS, ING, and Stifel Nichols among others. Many investors who were sold conservative high yield bond funds were shocked to learn ...
Date: August 16, 2010
Many of these securities victims were clients of large brokerage firms, such as UBS, Citigroup Smith Barney, Wachovia, Linsco Private Ledger LPL, Merrill Lynch, UBS, ING, Stifel, and Gun Allen.
Date: June 11, 2010
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 ...
Date: April 30, 2010
Stifel Financial Corp. is reporting an 80% increase of earnings during its first quarter, which ended on March 31, compared to last year. Nearly 57% of its operating profit and 64% of revenue came from its global wealth management group. ...
Date: March 11, 2010
Stifel, Nicolaus and Co. Inc. has reached an agreement with Missouri Secretary of State Robin Carnahan over the broker fraud committed by former Stifel securities broker Girard Munsch.
