Try our Advanced Search for more refined results
- Law360
- Law360 UK
- Law360 Pulse
- Law360 Employment Authority
- Law360 Tax Authority
- Law360 Insurance Authority
- Law360 Real Estate Authority
- Law360 Healthcare Authority
- Law360 Bankruptcy Authority
- Products
- Lexis®
- Law360 In-Depth
- Law360 Podcasts
- Rankings
- Regional Powerhouses
- Law360's MVPs
- Women in Law Report
- Law360 400
- Diversity Snapshot
- Practice Groups of the Year
- Rising Stars
- Titans of the Plaintiffs Bar
- Sections
- Adv. Search & Platform Tools
- About all sections
- Browse all sections
- Banking
- Bankruptcy
- Class Action
- Competition
- Employment
- Energy
- Expert Analysis
- Insurance
- Intellectual Property
- Product Liability
- Securities
- Beta Tools
- Track docs
- Track attorneys
- Track judges
Securities and Exchange Commission v. Stifel Nicolaus & Co Inc et al
Case Number:
2:11-cv-00755
Court:
Nature of Suit:
Judge:
Firms
- Bryan Cave
- Gass Turek
- Gibson Dunn
- Hansen Reynolds
- Kane & Fischer
- Paul Hastings
- Peterson Johnson & Murray
- von Briesen & Roper
Companies
Government Agencies
Sectors & Industries:
-
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.
-
August 30, 2016
SEC Says Depositions Of Stifel Execs Are Allowed At Trial
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
Stifel Blasts SEC Bid To Limit Ex-Agency Director's Testimony
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
SEC Blasts Ex-Director's Report Ahead Of $200M CDO Trial
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
SEC Sues Stifel Over Sale Of $200M In Risky CDOs
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.