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.
- Penalty clauses -- how to spot them and how to avoid them. // Lawyer (Online Edition);2/15/2013, p1
The article reports on the concerns over the High Court decision that requires any party hoping to rely on forfeiture clauses to ensure that they do not constitute unenforceable penalties in Great Britain.
- 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.