Investor Lawyers Blog

Search Results: Stifel

Results 50-53 of about 53

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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