Administrative Proceeding File No. 3-22168

Respondents

Stifel, Nicolaus & Company, Inc.,
Release Date Release Number Other Release Numbers Name of Document
34-102860
  • IA-6874
 Order Denying Motions to Modify or Amend and Stay Settled Orders
34-101144
  • IA-6722
 Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Release Date Release Number Other Release Numbers Name of Document
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Respondent Stifel, Nicholas & Company, Inc.'s Motion to Modify Ordered Undertakings in Administrative Proceeding and for Administrative Stay
Division of Enforcement’s Opposition to Respondent Stifel, Nicholas & Company Inc.’s Motion to Modify Ordered Undertakings in Administrative Proceeding, Stay Effectiveness of Undertakings
Respondent Stifel's Reply Brief ISO Motion to Modify Ordered Undertakings in Administrative Proceeding and Motion for Stay
Order Denying Motions to Modify or Amend and Stay Settled Orders

Documents