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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: $66,469,262
Number of records: 24
| Top 5 Offense Groups (Groups Defined) | Penalty Total | Number of Records |
| financial offenses | $66,469,262 | 24 |
| Top 5 Primary Offense Types | Penalty Total | Number of Records |
| investor protection violation | $66,469,262 | 24 |
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.
| Company | Primary Offense Type  | Year | Agency | Penalty Amount |
| Stifel, Nicolaus & Company, Inc. | investor protection violation | 2015 | SEC | $500,000 |
| Stifel Nicolaus & Co. | investor protection violation | 2014 | SEC | $60,000 |
| Thomas Weisel Partners LLC | investor protection violation | 2004 | SEC | $12,500,000 |
| Stifel, Nicolaus & Co., Inc. | investor protection violation | 2016 | SEC | $24,500,000 |
| Stifel, Nicolaus & Company, Incorporated | investor protection violation | 2017 | SEC | $300,000 |
| Stifel and Nicolaus & Company, Incorporated | investor protection violation | 2019 | SEC | $6,037,175 |
| Stifel, Nicolaus & Co., Inc. | investor protection violation | 2019 | SEC | $2,700,000 |
| Thomas Weisel Partners LLC | investor protection violation | 2006 | CT-SEC | $52,480 |
| Stifel, Nicolaus & Company, Inc. | investor protection violation | 2011 | IL-SEC | $80,224 |
| Stifel, Nicolaus & Company, Inc. | investor protection violation | 2010 | MO-SEC | $211,617 |
| Stifel, Nicolaus & Company, Inc. | investor protection violation | 2012 | MO-SEC | $1,101,385 |
| Stifel, Nicolaus & Company, Inc. | investor protection violation | 2017 | MS-SEC | $50,000 |
| Stifel, Nicolaus & Company Inc. | investor protection violation | 2014 | NE-DBF | $61,000 |
| Stifel Nicolaus & Company, Inc. | investor protection violation | 2010 | NJ-BOS | $5,415,381 |
| Stifel, Nicolaus & Company, Incorporated | investor protection violation | 2009 | MULTI-FIN | $525,000 |
| Thomas Weisel Partners LLC | investor protection violation | 2005 | MULTI-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, Incorporated | investor protection violation | 2020 | FINRA | $3,650,000 |
| Stifel Nicolaus & Company, Inc. | investor protection violation | 2015 | FINRA | $2,900,000 |
| Stifel Financial Corporation | investor protection violation | 2014 | FINRA | $1,025,000 |
| Thomas Weisel Partners, LLC | investor protection violation | 2008 | FINRA | $200,000 |
| Thomas Weisel Partners | investor protection violation | 2005 | FINRA | $1,750,000 |
| Stifel Nicolaus & Company | investor protection violation | 2004 | FINRA | $125,000 |
| Stifel, Nicolaus & Company, Inc. | investor protection violation | 2001 | FINRA | $225,000 |
| STIFEL, NICOLAUS & COMPANY, INC. | investor protection violation | 2023 | MA-SEC | $2,500,000 |
