Try our Advanced Search for more refined results

Stifel Fined $1M Over Lax Oversight Of Convicted Broker

By Keith Goldberg (January 25, 2012, 8:25 PM EST) -- Stifel Financial Corp. unit Stifel Nicolaus & Co. Inc. will pay $1.1 million to settle allegations made by Missouri securities regulators that the brokerage failed to adequately supervise a stockbroker convicted of defrauding investors through a real estate investment scheme, state authorities said Wednesday....

Law360 is on it, so you are, too.

A Law360 subscription puts you at the center of fast-moving legal issues, trends and developments so you can act with speed and confidence. Over 200 articles are published daily across more than 60 topics, industries, practice areas and jurisdictions.


A Law360 subscription includes features such as

  • Daily newsletters
  • Expert analysis
  • Mobile app
  • Advanced search
  • Judge information
  • Real-time alerts
  • 450K+ searchable archived articles

And more!

Experience Law360 today with a free 7-day trial.

Start Free Trial

Already a subscriber? Click here to login

Related Sections

Companies

Government Agencies

Hello! I'm Law360's automated support bot.

How can I help you today?

For example, you can type:
  • I forgot my password
  • I took a free trial but didn't get a verification email
  • How do I sign up for a newsletter?
Ask a question!