SEC
Whistleblower
Attorneys

September 16, 2019

Stifel, Nicolaus & Co., Inc.

Trading and Pricing

SANCTION AMOUNT: $2700000

Defendants: Stifel, Nicolaus & Co., Inc.

Settlement of charges that Respondent provided incomplete and inaccurate securities trading information ("blue sheet data") to the SEC, due largely to undetected coding errors.

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