Stifel Fined Nearly $2 Million For Oklahoma Yield Burning
- Brokerage firm set to expand. Shingler, Dan // Crain's Cleveland Business;6/26/95, Vol. 16 Issue 26, p17
Reports on Stifel Nicolaus & Co.'s plans to increase its stable of brokers in Cleveland, Ohio. Details on the firm's fee arrangement; Functions of the firm's brokers; Advantage of the fee arrangement.
- NASD Fines Five Firms $126,000; Bars Principal One Year. Hume, Lynn // Bond Buyer;5/16/2007, Vol. 360 Issue 32630, p34
The article reports that U.S. National Association of Securities Dealers has censured and fined five firms a total of $126,000 and barred a principal at one of the firms from the financial markets for a year for municipal securities and other violations. Involved firms are Deutsche Bank...
- Stifel Nicolaus to Buy Back ARS Early, Pay $800,000 to States. Ackerman, Andrew // Bond Buyer;12/30/2009, Vol. 370 Issue 33241, p5
The article reports on the move of Stifel Nicolaus & Co. to pay 800,000 dollars to the buyback of auction-rate securities from retail investors under a settlement of securities regulators in Missouri, Indiana and Colorado.
- Stifel Nicolaus: Treasury Deals Involved No Yield-Burning. Albanese, Elizabeth // Bond Buyer;11/28/2001, Vol. 338 Issue 31273, p3
Reports on the claims of Stifel, Nicolaus & Co. regarding the legality of its sale of Treasury securities, despite a pending judgment against the company in an Oklahoma district court. Sale of securities to the Oklahoma Water Resources Board and Oklahoma City; Details of the pending lawsuit...
- CORRECTION. // CardLine;12/14/2007, Vol. 7 Issue 50, p23
A correction to the article about the brokerage firm Stifel Nicolaus is presented.
- FINRA Fines 3 Firms $115,000 for Muni Rule Violations. Hume, Lynn // Bond Buyer;10/16/2013, Vol. 122 Issue 33996, p1
The article reports that the Financial Industry Regulatory Authority (FINRA) has fined three financial institutions a total of 115,000 U.S. dollars and has ordered them to pay 35,441 U.S. dollars as restitution charges for violating municipal securities fair pricing, primary offering disclosure...
- Remembering Joseph Battipaglia. // Investment Dealers' Digest;4/29/2011, Vol. 77 Issue 16, p5
An obituary for Stifel, Nicolaus & Co. Inc. market strategist Jospeh Battipaglia is presented.
- Yield-Burning St. Louis Firm Pays $1.8M. Kinnander, Ola // Bond Buyer;2/25/2002, Vol. 339 Issue 31331, p1
Reports on the payment of multimillion dollars by Saint Louis based broker-dealer Stifel, Nicolaus & Co. Inc. to the federal government to settle yield-burning charges. Disclosure of its settlement by the company; Firms forming a part of global settlement; Causation of yield-burning.
- Stifel Trust to invest in Chicago-are banks. Bronstien, Barbara F. // American Banker;1/31/1994, Vol. 159 Issue 20, p6
Reports on the trust formed by Stifel, Nicolaus & Co. to invest in Chicago-area banks and thrifts in Illinois. Requirements for investment; Sale of units to Chicagoland Financial Institutions Trust; Total sale of common-stock shares; Stable and diversified economic base of Chicago.