Violation Tracker Individual Record

Company: 
Stifel, Nicolaus & Co., Inc.
Current Parent Company: 
Stifel Financial
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 Parent: 
USA
HQ State of Parent: 
Missouri
Ownership Structure of Parent: 
publicly traded
Major Industry of Parent: 
financial services
Specific Industry of Parent: 
financial services
Source Notes: 
If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Parent company note: 
Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.