(Total Views: 271)
Posted On: 07/23/2018 11:57:19 AM
Post# of 72446
Here's a taste of STFL's past.
Posted in Feb 2018...
https://www.securitieslawattorneys.net/stifel...s-company/
Holding outstanding orders. Hmmm, does make one wonder if they were trying to cover their NS position before filling a real shareholder.
Could be a possibility imo.
Oh, and here's the best part, adding this just for you Drano!...
In connection to these findings, Stifel Nicolaus & Company was censured, ordered to pay a fine of $37,500, and required to pay more than $300 in restitution to affected customers. It also agreed to revise its written supervisory procedures.
Posted in Feb 2018...
https://www.securitieslawattorneys.net/stifel...s-company/
Holding outstanding orders. Hmmm, does make one wonder if they were trying to cover their NS position before filling a real shareholder.
Could be a possibility imo.
Oh, and here's the best part, adding this just for you Drano!...
In connection to these findings, Stifel Nicolaus & Company was censured, ordered to pay a fine of $37,500, and required to pay more than $300 in restitution to affected customers. It also agreed to revise its written supervisory procedures.
(1)
(0)
