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 65
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.
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 ...
