Shepherd Smith Edwards & Kantas, LLP Home
We Fight for Investors Cheated by Wall Street
Contact Us Now 
Investor Lawyers Blog
Search Results: Stifel
Results 30-40 of about 71
Date: January 2, 2018
Advisor Hub reports that these two brokerage firms were Barclays Capital (BARC) and Stifel (SF). As part of the deal, contends the regulator, a customer named Joseph Spera and another customer paid Hirsch cash kickbacks that were equivalent to a ...
Date: June 7, 2017
Former Stifel, Nicolaus Broker is Accused of Variable Annuity Violations The Financial Industry Regulatory Authority has suspended an ex-Stifel, Nicolaus (SF) broker for four months over variable annuity transactions that he purportedly inappropriately recommended to certain investors.
Date: March 17, 2017
A Financial Industry Regulatory Authority (FINRA) panel said that Stifel, Nicolaus & Co. (“Stifel”) must pay June and Perry Burns over $100K for losses they sustained from Puerto Rico bonds and oil and gas investments. The Burns are in their ...
Date: October 15, 2016
FINRA Actions: Former UBS Broker Is Barred for Overvaluing Customer’s Account by Up to $3M, Ex-Broker Allegedly Stole $400K From Parents, Wells Fargo Adviser is Suspended After Client is Victimized in Phishing Scam, and Former Stifel Broker is Accused of Unauthorized Payments
Date: April 20, 2016
Stifel Nicolaus (SF) also lowered shares of the oil and gas company from a hold rating to a sell one in February. In March, Robert Baird lowered its target price on Linn Energy shares and established a neutral rating for ...
Date: April 14, 2016
Broker Violations & FINRA: PNC Investments to Pay $225K for Overcharging for Mutual Funds and Stifel Nicolaus is Fined $750K For Not Following Reserve Requirements
Date: March 1, 2016
(RJF) at 13.74%, Stifel Nicolaus & Co. at 13.27%, (SF) and Janney Montgomery Scott at 13.27%. Firms with the lowest misconduct rates among its advisers included Morgan Stanley & Co. (MS), Goldman Sachs & Co. (GS), BlackRock Investment (BLK), UBS ...
Date: January 30, 2016
Firms named in recent Puerto Rico muni bond fraud cases include UBS Financial Services Incorporated of Puerto Rico (UBS) , Banco Santander, Banco Popular, Stifel Nicolaus & Co. (SF), Bank of America’s (BA) Merrill Lynch , and others. Puerto Rico ...
Date: October 26, 2015
Jones will pay $13.5M, Stifel Nicolaus (SF) will pay $2.9M, AXA Advisors will pay $600K, Janney Montgomery Scott will pay $1.2M, and Stephens Inc. will pay $15K. The announcement comes just a few months after the self-regulatory organization fined five ...
Date: June 20, 2015
(C) , Stifel, Nicolaus & Company, Inc. (SF), Piper Jaffray & Co. (PJC), Merrill Lynch, Pierce, Fenner & Smith Inc. , and RBC Capital Markets, LLC were the firms ordered to pay the largest financial penalty of $500,000, respectively.
