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Mealeys

MLex

August 10, 2011

Securities and Exchange Commission v. Stifel Nicolaus & Co Inc et al

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Reflects complaints, answers, motions, orders and trial notes entered from Jan. 1, 2011.
Additional or older documents may be available in Pacer.

Coverage

  1. December 07, 2016

    Stifel, Exec To Pay $24.6M To Settle $200M SEC Suit

    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.

4 other articles on this case. View all »

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