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Violation Tracker Individual Record

Company: Stifel, Nicolaus & Co., Inc.
Current Parent Company: Stifel Financial
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
Penalty: $2,700,000
Year: 2019
Date: September 16, 2019
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Stifel, Nicolaus & Co., Inc. agreed to pay $2.7 million to settle allegations of providing incomplete and inaccurate securities trading information to the SEC.
Level of Government: federal
Action Type: agency action
Agency: Securities and Exchange Commission
Civil or Criminal Case: civil
HQ Country of Current Parent: USA
HQ State of Current Parent: Missouri
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: financial services
Source of Data: (click here)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.