Trader sanctioned for improper disclosure [Investment Executive - News]
Stifel Financial Corporation (SF)
Last stifel financial corporation earnings: 7/30 06:00 am
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Source: Investment Executive - News
A trader who alerted a hedge fund client about a couple of pending block trades that his firm was working on — information that the fund manager then traded on — is being sanctioned in a settlement with regulators. On Nov. 7, a hearing panel of the Canadian Investment Regulatory Organization (CIRO) accepted a settlement with Robert Russell Weir, a former registered representative with Stifel Nicolaus Canada Inc. in Toronto, who admitted to violating the self-regulatory organization’s rules by disclosing potentially confidential information to an unnamed hedge fund manager. According to the settlement, in 2020, Weir, who was head of sales and trading at Stifel at the time, told a hedge fund client about a couple of large block trades that his firm was working on and had discussions with the hedge fund about its possible participation in those transactions. One involved another dealer seeking to divest a portion of their holdings in a certain stock, while the other involved a sharehol
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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