Dealer rep banned, fined $75K by CIRO for sharing information with a hedge fund [Wealth Professional (Canada)]
Stifel Financial Corporation (SF)
Last stifel financial corporation earnings: 7/30 06:00 am
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Source: Wealth Professional
A former registered representative and head of sales and trading with Stifel Nicolaus Canada Inc. has been banned for six months and fined $75,000 for disclosing potentially confidential information with a hedge fund client. A Canadian Investment Regulatory Organization hearing panel earlier this month determined that Robert Russell Weir's conduct was contrary to investment dealer rules when he shared information about proposed block trade transactions involving two publicly listed issuers. The hedge fund client he told the information to was able to use these insights in short sales to yield potential profits of $118,945 for one transaction and $258,561 for the other. Weir did not know that these short sales were taking place. The Settlement Agreement between CIRO and Weir notes that the violations took place in April and May 2020 while Weir was with Stifel (he was a registered representative with the firm from December 2019 to December 2020). He had been registered with other
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News
- NervGen Announces "At-The-Market" Equity Program [Yahoo! Finance]Yahoo! Finance
- Transaction in Own Shares [Yahoo! Finance]Yahoo! Finance
- Stifel Reports November 2024 Operating Data [Yahoo! Finance]Yahoo! Finance
- Stifel Reports November 2024 Operating DataGlobeNewswire
- CIRO penalizes representative for improper disclosure to hedge funds [Wealth Professional (Canada)]Wealth Professional
SF
Earnings
- 10/23/24 - Miss
SF
Sec Filings
- 12/20/24 - Form 4
- 12/19/24 - Form 8-K
- 12/13/24 - Form 4
- SF's page on the SEC website