Violation Tracker Parent Company Summary

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: 
$54,094,262
Number of records: 
16
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$54,094,26216
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$54,094,26216
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.

Associated Names: 

STIFEL; Stifel and Nicolaus & Company, Incorporated; Thomas Weisel Partners LLC

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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Company Primary Offense Type Year Agency Penalty Amountsort icon
Stifel, Nicolaus & Co., Inc. investor protection violation 2016 SEC $24,500,000
Thomas Weisel Partners LLC investor protection violation 2004 SEC $12,500,000
Stifel and Nicolaus & Company, Incorporated investor protection violation 2019 SEC $6,037,175
Stifel Nicolaus & Company, Inc. investor protection violation 2010 NJ-BOS $5,415,381
Thomas Weisel Partners LLC investor protection violation 2005 MULTI-FIN (*) $5,000,000
Stifel, Nicolaus & Co., Inc. investor protection violation 2019 SEC $2,700,000
Stifel, Nicolaus & Company, Inc. investor protection violation 2012 MO-SEC $1,101,385
Stifel, Nicolaus & Company, Incorporated investor protection violation 2009 MULTI-FIN $525,000
Stifel, Nicolaus & Company, Inc. investor protection violation 2015 SEC $500,000
Stifel, Nicolaus & Company, Incorporated investor protection violation 2017 SEC $300,000
Stifel, Nicolaus & Company, Inc. investor protection violation 2010 MO-SEC $211,617
Stifel, Nicolaus & Company, Inc. investor protection violation 2011 IL-SEC $80,224
Stifel, Nicolaus & Company Inc. investor protection violation 2014 NE-DBF $61,000
Stifel Nicolaus & Co. investor protection violation 2014 SEC $60,000
Thomas Weisel Partners LLC investor protection violation 2006 CT-SEC $52,480
Stifel, Nicolaus & Company, Inc. investor protection violation 2017 MS-SEC $50,000
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