Decision Notice - CIRO Sanctions Robert Russell Weir [Yahoo! Finance]
Stifel Financial Corporation (SF)
Last stifel financial corporation earnings: 7/30 06:00 am
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Source: Yahoo! Finance
pursuant to the Investment Dealer and Partially Consolidated Rules and accepted a settlement agreement, with sanctions, between CIRO Enforcement Staff and Robert Russell Weir Robert Weir admitted he disclosed potentially confidential information to a hedge fund client. Pursuant to the settlement agreement, Robert Weir agreed to: a fine of a prohibition on approval in any capacity for a period of six months, and a requirement to complete the Conduct and Practices Handbook Course (or equivalent) prior to approval. Robert Weir will also pay costs of The Settlement Agreement is available at: Weir, Robert – Settlement Agreement The hearing panel's decision will be made available at www.ciro.ca At all material times, Robert Weir was working at the Toronto branch of Stifel Nicolaus Canada Inc. Robert Weir is not currently registered in the securities industry in any capacity. The Canadian Investment Regulatory Organization (CIRO) is the national self-regulatory organiza
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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