Decision Notice - CIRO Hearing Panel issues Reasons for Decision in the matter of Stifel Nicolaus Canada Inc. [Yahoo! Finance]
Stifel Financial Corporation (SF)
Last stifel financial corporation earnings: 7/30 06:00 am
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Source: Yahoo! Finance
Consolidated Rules held on August 14, 2024 , a panel of the Canadian Investment Regulatory Organization (CIRO) accepted a settlement agreement between Enforcement Staff and Stifel Nicolaus Canada Inc. where Stifel Nicolaus Canada Inc. admitted that it failed to supervise the activities of its employees regarding the receipt and containment of confidential information. The hearing panel issued their reasons for decision on September 5, 2024 , which are available at: In their reasons for decision, the hearing panel confirmed a fine of imposed on Stifel Nicolaus Canada Inc. and costs of Stifel Nicolaus Canada Inc. is a CIRO-regulated dealer member. The Canadian Investment Regulatory Organization (CIRO) is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada's debt and equity marketplaces. CIRO is committed to the protection of investors, providing efficient and consistent regulation, and building Canadi
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News
- U.S. Alpine Ski Team Debuts Stifel HERoic Cup Award For Female Skiers [Forbes]Forbes
- Hearing Notice - CIRO to Hold a Settlement Hearing for Jason Adam Beales [Globe and Mail, The (Toronto, Canada)]Globe and Mail, The
- Brad Edgar Joins Stifel as Managing Director and Lead Healthcare Equity Trader [Yahoo! Finance]Yahoo! Finance
- Brad Edgar Joins Stifel as Managing Director and Lead Healthcare Equity TraderGlobeNewswire
- Stifel Financial Corp. (NYSE: SF) had its price target raised by analysts at Wells Fargo & Company from $113.00 to $130.00. They now have an "overweight" rating on the stock.MarketBeat
SF
Earnings
- 10/23/24 - Miss
SF
Sec Filings
- 11/20/24 - Form 4
- 11/14/24 - Form 4
- 11/14/24 - Form 13F-HR
- SF's page on the SEC website