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Search Results: Stifel
Results 60-69 of about 69
Date: October 3, 2009
The Colorado Securities Division is suing Stifel, Nicolaus & Co. for securities fraud . State regulators are accusing the broker-dealer of making false assurances to investors about auction-rate securities.
Date: October 1, 2009
The Indiana Secretary of State’s Office filed an administrative complaint today accusing Stifel Nicolaus & Co.’s local office of securities fraud , failing to properly train members of its sales team, and failing to disclose risks associated with purchasing auction-rate ...
Date: September 21, 2009
A former broker who was fired from both AG Edwards, Inc.and Stifel Nicolaus & Co. has been ordered to serve a 21-month federal prison sentence for selling fraudulent investments to Stifel Nicolaus clients.
Date: August 3, 2009
The Financial Industry Regulatory Authority has permanently barred a former Stifel, Nicolaus & Co. Inc. and AXA Advisors broker from operating. Kenneth George Neely has admitted to running a ponzi scheme involving clients of both broker-dealers, as well as friends, ...
Date: July 6, 2009
Rather, she believes that it is the only option that Stifel has given clients that will allow them to get all of their funds back-and that means that many of them will have to wait three years. Carnahan noted that ...
Date: June 25, 2009
Edwards and Stifel Nicolaus has pleaded guilty to mail fraud . Neil R. Harrison, could spend up to 27 months behind bars-although his agreement to repay $85,739, cooperate with police, and lack of a criminal record could help him receive ...
Date: June 1, 2009
Another state has filed an individual enforcement against brokerage and investment banking firm Stifel, Nicolaus, & Co. Inc.
Date: March 19, 2009
Stifel Financial Corp says that subsidiary Stifel Nicolaus & Co. Inc. will buy back all of its customers’ auction-rate securities in the next three years. This is a significant change from its initial offer to purchase 10% of the clients’ ...
Date: October 7, 2008
Five school districts in Wisconsin are suing Stifel Nicolaus & Co., Inc. and Royal Bank of Canada (RBC) for losses incurred after the bank and brokerage firm sold the districts “ Credit Default Swaps ,” (also called “CDS” or complex ...
