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Search Results: Stifel
Results 40-50 of about 65
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 ...
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 ...
