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Stifel

争议事件

以下收录公开来源中与该品牌相关的争议事件。列出一条并不表示过错已经证实。

返回词条共 3 条

  1. 2020

    Stifel同意就FINRA监督规则指控达成和解

    和解

    Stifel, Nicolaus & Co.同意支付4万美元并接受谴责，以了结其违反市政证券监督规则的指控。FINRA认定其监督系统未能合理设计以识别和防止被禁止的预先安排交易；Stifel既未承认也未否认该认定。

    来源摘录

    • The firm agreed this week to pay the fine and be censured while neither admitting nor denying FINRA’s finding that it violated Municipal Securities Rulemaking Board Rule G-27 on supervision.
    • From Oct. 31, 2017 through Feb. 27, 2020, Stifel did not have a supervisory system, including written supervisory procedures, reasonably designed to detect and prevent its broker-dealers from executing pre-arranged transactions, FINRA found.
    来源

  2. 2020

    FINRA就UIT提前转入问题责令Stifel赔偿并缴纳罚款

    罚款或处罚

    FINRA责令Stifel, Nicolaus向客户支付逾190万美元赔偿，并就UIT转入费用及相关违规对该公司处以175万美元罚款。Stifel同意和解，但未承认或否认相关指控。

    来源摘录

    • May 28, 2020
    • The Financial Industry Regulatory Authority has ordered Stifel, Nicolaus to pay over $1.9 million in restitution to over 1,700 customers regarding early rollovers of Unit Investment Trusts (UITs). It also fined the firm $1.75 million for deceiving customers about rollover costs and for violations.
    • Even so, in agreeing to settle the matter, Stifel neither admitted nor denied the charges.
    来源

  3. 2011

    威斯康星州学区证券纠纷

    美国证券交易委员会起诉Stifel Nicolaus，指控其向威斯康星州五个学区出售与债务抵押债券相关的不合适证券，并歪曲了相关风险。Stifel表示不同意该诉讼并打算为其行为辩护。学区后来对Stifel和加拿大皇家银行提起了索赔。Stifel于2012年以1300万美元与学区达成和解；后来的诉讼导致Stifel和RBC达成和解，据报道为2.179亿美元，包括现金和债务减免。Stifel和一名前高级副总裁承认疏忽但未承认欺诈，Stifel同意支付民事罚款。

    来源