Violation Tracker Individual Record

Company: 
Stifel, Nicolaus & Company, Inc.
Current Parent Company: 
Stifel Financial
Penalty: 
$80,224
Year: 
2011
Date: 
May 21, 2011
Offense Group: 
financial offenses
Primary Offense: 
investor protection violation
Level of Government: 
state
Action Type: 
agency action
Agency: 
Illinois Secretary of State-Securities
Civil or Criminal Case: 
civil
Facility State: 
Illinois
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.