Stifel Financial Corp.’s broker-dealer unit has seen yet another unfavorable outcome in an industry dispute, and on Friday a three-person arbitration panel ruled Stifel Nicolaus & Co. Inc. pay $ ...

The panel also ruled the Stifel branch manager had no knowledge that the financial adviser involved in the transactions, ...

though his branch manager and other internal systems repeatedly flagged his transactions for review,” the office said in the announcement. “Nonetheless, Stifel allowed the misconduct to ...

A Finra arbitration panel has ordered Stifel Financial Corp. to pay about $132 million in damages for allegedly misleading investors by pitching a product as less risky than it actually was ...

Stifel, Nicolaus & Company Inc. has been ordered ... The panel also pointed out that Roberts’ branch manager was not even aware that he was required to have heightened supervision said.

Stifel Financial Corp. operates as the bank holding company for Stifel, Nicolaus & Company, Incorporated that provides retail and institutional wealth management, and investment banking services ...

Joseph R. Crespi worked for Stifel, Nicolaus, and Company, from December 2018 to February 2022. He worked as a broker-dealer agent for a satellite branch office, located at 41 Taunton Green in ...

said he can see how advisors who are planning to branch out on their own might not know how far they can go. He added that Stifel Nicolaus is far from the only firm with a history of recruiting ...

Stifel Financial Corp. will host its first quarter ... the ability to successfully integrate acquired companies or the branch offices and financial advisors; a material adverse change in financial ...

IBJ attempted to contact Tanner and Marshall for details on why they changed their minds, but a Stifel branch manager directed IBJ to the company’s corporate spokesman, saying local employees ...