Defendant Name: David W. Noack

Defendant Type: Individual

Document Reference: LR-23700

Document Details

Legal Case Name SEC v. Stifel Nicolaus & Company, Incorporated and David W. Noack
Document Name Stifel, Nicolaus and Former Stifel Executive Pay Over $24.5 Million and Admit Wrongdoing in Connection with the Sale of Synthetic CDOs to Wisconsin School Districts
Document Date 07-Dec-2016
Document Format Civil Proceeding
Case Number 11-cv-00755
Federal District Court Wisconsin, Eastern District of Wisconsin
Federal District Judge Charles N. Clevert, Jr.
Allegation Type Municipal Securities & Public Pensions
Document Summary

Disgorgement & Penalty Information

Resolutions
Enjoinment
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

Related Documents:

comp22064 10-Aug-2011 Complaint
Complaint
lr23700-final-judgment 06-Dec-2016 Court Docket Document
Final Judgment as to Defendants Stifel Nicolaus & Company, Incorporated and David W. Noack
court_doc338_11-cv-00755 06-Dec-2016 Court Docket Document
Final Judgment as to Defendants Stifel Nicolaus & Company, Incorporated and David W. Noack

Other Defendants in Action:

Stifel, Nicolaus & Company, Inc.

Related Actions:

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