Stifel Nicolaus Pays SEC Fine For Wrap Fee Program Failures
By Carmen Germaine ( March 14, 2017, 7:10 PM EDT) -- Stifel Nicolaus & Co. Inc. agreed Monday to pay a civil penalty to the U.S. Securities and Exchange Commission for failing to track and disclose whether advisers to clients in programs with a single annual fee were executing trades that charged clients additional commissions....
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