Defendant Name:
Stifel, Nicolaus & Company, Inc.
Defendant Type:
Subsidiary of Public Company
Public Company Parent:
Stifel Financial Corp.
SIC Code:
6211
CUSIP:
86063010
Initial Case Details
Legal Case Name
In the Matter of Stifel, Nicolaus & Company, Incorporated
First Document Date
13-Mar-2017
Initial Filing Format
Administrative Action
File Number
3-17879
Allegation Type
Investment Advisers/Investment Companies
Violations Alleged
•
Section 206(4) Advisers Act; Rule 206(4)-7 Advisers Act
Resolutions
First Resolution Date
13-Mar-2017