September 22, 2011 Comments (0) Blog, Securities Fraud

Securities Regulatory Information Regarding Stifel Nicolaus

(Last Updated On: July 17, 2015)

The following is a brief breakdown of publicly available information regarding Stifel, Nicolaus & Company, Incorporated and its securities sales practices and FINRA regulatory history.

Stifel Nicolaus is a FINRA registered broker-dealer based in St. Louis, Missouri.  Stifel Nicolaus’ website represents the firm is a full-service regional brokerage and investment banking firm, established in 1890. It further states that the Company provides securities brokerage, investment banking, trading, investment advisory, and related financial services.

Although Stifel Nicolaus has a fine reputation in the securities industry, investors should know that the firm does have numerous reportable events on its FINRA Broker Report (or CRD).

According to the firm’s CRD, Stifel Nicolaus has been named in at least 75 regulatory events related to possible securities fraud violations. The firm has been the subject of investigations conducted by FINRA, Illinois Securities Department, the Ohio Division of Securities, the Minnesota Department of Commerce, and the Maine Office of Securities (among others).

The firm has also been named in over 35 FINRA arbitration claims filed by investors. These claims involved various investment types and causes of action.

The foregoing is but a brief summary of the firm’s FINRA Broker Report. To access Stifel Nicolaus’ full CRD, you can visit http://brokercheck.finra.org.

If you have any questions about investments you made with Stifel Nicolaus, or if you believe that you have been the victim of a securities fraud, The White Law Group may be able to help. To contact the firm, please call 312/238-9650.

The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida.

For more information on The White Law Group, please visit http://www.whitesecuritieslaw.com.

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