TITLE

Stifel Executive Stole From Clients After Selling Fake Munis, SEC Says

AUTHOR(S)
Hume, Lynn
PUB. DATE
September 2000
SOURCE
Bond Buyer;09/14/2000, Vol. 333 Issue 30975, p6
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
Reports the court order on the charges filed against Regald B. Smith, investment executive of Stifel, Nicolaus & Co. Inc. in the United States. Claims on the sale of tax-exempt municipal bonds; Penalties imposed on Smith; Issuance of a permanent injunction to prevent further violation of the securities laws; Agreement of Smith to the court order.
ACCESSION #
3645893

 

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