Investor Lawyers Blog

Search Results: Stifel

Results 50-55 of about 55

Stifel Financial Corp. Says 95% of Clients Agree to Auction-Rate ...

Date: July 6, 2009

Some 1,200 Stifel clients bought ARS before the market collapsed. ... Stifel Chief Executive Officer and Chairman Ronald J. ... This is the main reason that Stifel has given for why it isn’t buying back their clients’ holdings in full ...

Former Stifel Nicolaus and A.G. Edwards Stockbroker Pleads Guilty to ...

Date: June 25, 2009

Edwards and Stifel Nicolaus has pleaded guilty to mail fraud . ... Harrison, could spend up to 27 months behind bars-although his agreement to repay $85,739, cooperate with police, and lack of a criminal record could help him receive less ...

Auction-Rate Securities Probes Lead to More Enforcement Actions and Final ...

Date: June 1, 2009

Another state has filed an individual enforcement against brokerage and investment banking firm Stifel, Nicolaus, & Co. ... On May 7, Virginia’s State Corporation Commission’s ‘s Division of Securities and Retail Franchising filed its civil lawsuit accusing the broker-dealer of ...

Stifel Nicolaus Will Repurchase Auction-Rate Securities from Costumers Within Three ...

Date: March 19, 2009

Stifel Financial Corp says that subsidiary Stifel Nicolaus & Co. ... Stifel CEO & Chairman Ronald J. ... The repayment offer applies to ARS that are held by retail clients who purchased the securities through Stifel before the ARS market ...

Wisconsin School Districts Sue Royal Bank of Canada and Stifel ...

Date: October 7, 2008

Five school districts in Wisconsin are suing Stifel Nicolaus & Co., Inc. and Royal Bank of Canada (RBC) for losses incurred after the bank and brokerage firm sold the districts “ Credit Default Swaps ,” (also called “CDS” or complex ...

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