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Stifel Nicolaus fined $300,000

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Stifel Nicholas was fined $300,000 for its participation in dealing “penny stocks” and inadequate supervision. Stifel failed to have an adequate supervisory program to ...

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Stifel Nicolaus Broker Alerts

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Another Jackson Mississippi , Lanis Dale Noble, of Stifel Nicolaus & Co., caused a large arbitration award against Stifel Nicolaus. There, the customer asserted ...

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Stifel Nicolaus Censured

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Stifel Nicholas was censured and fined $55,000 for failing to execute orders fully and promptly, using reasonable diligence to learn the best market prices. ...

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Fines against Stifel Nicolaus

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Stifel Nicolaus was fined $500,000 for wilful violations of the Federal securities laws in Stifel underwriting of certain municipal securities offering. Stifel failed to ...

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