The acquisition enhances the financial services giant's European capabilities and moves it closer to its goal of "being the ...

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.

Stifel also alleged that the team illegally solicited and attempted to hire all the branch’s employees. Both sides claimed millions in damages, all of which were denied by the panel last week.

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

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 ...

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 ...