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Violation Tracker Current Parent Company Summary

Current Parent Company Name: Stifel Financial
Ownership Structure: publicly traded (ticker symbol SF)
Headquartered in: Missouri
Major Industry: financial services
Specific Industry: financial services
Penalty total since 2000: $101,499,262
Number of records: 26
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$101,499,26226
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$101,499,26226
Notes: Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the Update Log, which may vary from what was the case when a violation occurred. The penalty totals are adjusted to account for the fact that the individual entries below may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. The totals are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the list below.

Links: Subsidy Tracker data on financial assistance to this company by federal, state and local government agencies can be found here.

Individual Penalty Records:

Click on the company or penalty amount for more information on each case.

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CompanyPrimary Offense TypeYearAgencyPenalty Amount sort icon
Stifel, Nicolaus & Company, Inc.investor protection violation2024SEC$35,000,000
Stifel, Nicolaus & Co., Inc.investor protection violation2016SEC$24,500,000
Thomas Weisel Partners LLCinvestor protection violation2004SEC$12,500,000
Stifel and Nicolaus & Company, Incorporatedinvestor protection violation2019SEC$6,037,175
Stifel Nicolaus & Company, Inc.investor protection violation2010NJ-BOS$5,415,381
Thomas Weisel Partners LLCinvestor protection violation2005MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $5,000,000
Stifel, Nicolaus & Company, Incorporatedinvestor protection violation2020FINRA$3,650,000
Stifel Nicolaus & Company, Inc.investor protection violation2015FINRA$2,900,000
Stifel, Nicolaus & Co., Inc.investor protection violation2019SEC$2,700,000
STIFEL, NICOLAUS & COMPANY, INC.investor protection violation2023MA-SEC$2,500,000
Thomas Weisel Partnersinvestor protection violation2005FINRA$1,750,000
Stifel, Nicolaus & Company, Inc.investor protection violation2012MO-SEC$1,101,385
Stifel Financial Corporationinvestor protection violation2014FINRA$1,025,000
Stifel, Nicolaus & Company, Incorporatedinvestor protection violation2009MULTI-FIN$525,000
Stifel, Nicolaus & Company, Inc.investor protection violation2015SEC$500,000
Stifel, Nicolaus & Company, Incorporatedinvestor protection violation2017SEC$300,000
Stifel, Nicolaus & Company, Inc.investor protection violation2001FINRA$225,000
Stifel, Nicolaus & Company, Inc.investor protection violation2010MO-SEC$211,617
Thomas Weisel Partners, LLCinvestor protection violation2008FINRA$200,000
Stifel Nicolaus & Companyinvestor protection violation2004FINRA$125,000
Stifel, Nicolaus & Company, Inc.investor protection violation2011IL-SEC$80,224
Stifel, Nicolaus & Company Inc.investor protection violation2014NE-DBF$61,000
Stifel Nicolaus & Co.investor protection violation2014SEC$60,000
Thomas Weisel Partners LLCinvestor protection violation2006CT-SEC$52,480
Stifel, Nicolaus & Company, Inc.investor protection violation2017MS-SEC$50,000
Stifel, Nicolaus & Co.investor protection violation2024WA-SEC$30,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.