Violation Tracker Individual Record
Company:Stifel, Nicolaus & Co., Inc.
Date:September 16, 2019
Offense Group:financial offenses
Primary Offense:investor protection violation
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 of Data:
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