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Tag: Stifel Nicolaus & Co losses

Stifel, Nicolaus & Co.

Blog, Current Investigations, Securities Fraud Articles

December 27, 2018

State of Mass. Fines Stifel Nicolaus & Co $300K

Stifel Nicolaus & Co to pay $300,000  for  Alleged Scheme According to reports, Massachusetts’ regulators led by Secretarty of...

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Blog

December 9, 2016

Stifel, Nicolaus & Ex-Exec to pay $24.6 Million

Stifel, Nicolaus & Co and ex-exec, David Noack have agreed to pay $24.6 million to resolve claims arising from the sale of risky...

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