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September 17, 2019
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Current Investigations, Securities Fraud
Stifel Nicholas & BMO Capital Markets Sanctioned for Reportedly Providing Deficient Blue Sheet Data According to press announcement on September 16, two broker dealers, Stifel, Nicolaus & Co., Inc. and BMO Capital Markets Corp. have agreed to settle charges for providing incomplete and inaccurate securities
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December 9, 2016
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Blog
Stifel, Nicolaus & Co and ex-exec, David Noack have agreed to pay $24.6 million to resolve claims arising from the sale of risky investment products to five Wisconsin school districts prior to the financial crisis of 2008. The SEC announced the deal in a press release December 8. Under the settlement, Stifel and
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