Defendant Name:
Stifel, Nicolaus & Company, Inc.
Defendant Type:
Subsidiary of Public Company
Public Company Parent:
Stifel Financial Corp.
SIC Code:
6211
CUSIP:
86063010
Document Reference:
34-86978
Document Details
Legal Case Name
In the Matter of Stifel, Nicolaus & Company, Incorporated
Document Name
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Section 203(e) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Document Date
16-Sep-2019
Document Format
Administrative Proceeding
Allegation Type
Broker Dealer
Document Summary
On September 16, 2019, the SEC instituted settled administrative and cease and desist proceedings against Stifel, Nicolaus & Company, Incorporated ("Stifel"). The SEC stated: "These proceedings arise out of Stifel's failure to submit to the Commission complete and accurate data in response to Commission staff electronic blue sheets ("EBS") requests, resulting in the reporting of EBS that was incomplete or deficient."
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Censured
Cooperation Before the Resolution
Remedial Acts or Efforts Before the Resolution
Monetary Penalties:
Civil Penalty
Individual:
$2,700,000.00
Shared: