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.
- Key Docs
- Official SEC press release
