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

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 $ ...

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.

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 ...

Stifel Financial Corp. provides securities brokerage, investment banking, trading, investment advisory and related financial services. It operates through the following segments: Global Wealth ...

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 ...

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 ...