Defendant Name:
David W. Noack
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of David W. Noack
First Document Date
07-Dec-2016
Initial Filing Format
Administrative Action
File Number
3-17714
Allegation Type
Broker Dealer
Affiliations
- Former: Senior Vice President at Stifel, Nicolaus & Company, Inc. (2000—2007)
- Former: Co-head of Stifel's Milwaukee, Wisconsin office at Stifel, Nicolaus & Company, Inc. (2000—2007)
Resolutions
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
