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Company: Stifel, Nicolaus & Company, Inc.
Current Parent Company:
Stifel Financial
Parent at the Time of the Penalty Announcement:
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Penalty: $50,000
Year: 2017
Date: January 4, 2017
Offense Group: financial offenses
Primary Offense: investor protection violation
Level of Government: state
Action Type: agency action
Agency: Mississippi Secretary of State-Securities
Civil or Criminal Case: civil
Facility State: Mississippi
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:
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the
Update Log.
