SEC
Whistleblower
Attorneys
Landmark Lawsuit Filed Against SEC to Protect Future Whistleblowers

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.

Named one of the top whistleblower practices/attorneys in the country by The New York Times, Wall Street Journal and NPR
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