Securities Enforcement Empirical Database (SEED)

Defendant Name: David W. Noack

Defendant Type: Individual

Legal Case Name SEC v. Stifel, Nicolaus & Co., Inc. and David W. Noack

First Document Date 10-Aug-2011

Initial Filing Format Civil Proceeding

Case Number 11-cv-00755

Allegation Type Municipal Securities & Public Pensions

Federal District Court Wisconsin, Eastern District of Wisconsin

Exchange Act

• Sec 10(b) + Rule 10b-5

Securities Act

• Sec 17(a)(1)

• Sec 17(a)(2)

• Sec 17(a)(3)

David W. Noack is alleged to have aided and abetted Stifel, Nicolaus & Company, Inc.'s violation of Sec 15(c) of the Exchange Act.

Bars:

Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 5 years
Bar from participating in any penny stock offering for 5 years

First Resolution Date 06-Dec-2016

Headline Total Penalty and Disgorgement $24,600,000

Stifel, Nicolaus & Company, Inc.

In the Matter of RBC Capital Markets, LLC (formerly known as RBC Capital Markets Corp.)

RBC Capital Markets, LLC

In the Matter of David W. Noack

David W. Noack