December 07, 2016
A Wisconsin federal judge slapped broker-dealer Stifel Nicolaus & Co. and a former top company executive with penalties totaling $24.6 million when he entered final judgment Tuesday to resolve a U.S. Securities and Exchange Commission suit accusing them of selling $200 million worth of risky collateralized debt obligations to school districts in 2006.
August 30, 2016
The U.S. Securities and Exchange Commission on Tuesday slammed a Stifel Financial Corp. unit's bid to keep the agency from playing the depositions of witnesses appearing live during an upcoming trial over the unit's sale of $200 million in risky collateralized debt obligations, telling a Wisconsin judge they're allowed.
August 16, 2016
A Stifel Financial Corp. unit urged a Wisconsin federal judge Monday to deny the U.S. Securities and Exchange Commission's bid to limit the testimony of a former agency official in an upcoming trial over the unit's sale of $200 million in risky collateralized debt obligations.
August 02, 2016
The U.S. Securities and Exchange Commission on Monday urged a Wisconsin federal court to limit the testimony of the agency's former director of trading and markets in an upcoming trial over a Stifel Financial Corp. unit's sale of $200 million in collateralized debt obligations to five school districts.
August 10, 2011
The U.S. Securities and Exchange Commission sued Stifel Financial Corp. subsidiary Stifel Nicolaus & Co. Inc. in Wisconsin federal court Wednesday over $200 million in risky collateralized debt obligations it sold to five Wisconsin school districts.