Stifel Nicolaus & Co.

• Appetizing Outlook

  By Ed McCarthy, CFP  |  May 28, 2013

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  Knight Capital Blunder Hastens SEC Rulemaking on Exchange Integrity

  By Melanie Waddell, AdvisorOne  |  August 6, 2012

  After a computer mishap spewed orders through stock exchanges on Wednesday and led to a $440 million loss at market maker Knight Capital Group, the SEC is speeding efforts to require exchanges to ensure the “capacity and integrity of their systems.”

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  SEC/FINRA Enforcement Roundup: Raymond James Failed to Stop Scheming Client

  By Marlene Y. Satter, AdvisorOne  |  June 7, 2012

  FINRA and the SEC issued enforcement actions recently for inadequate measures against Ponzi schemes, fund misappropriation, inappropriate sales materials for ETFs and penny stock pumping.

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  SEC Charges RBC Capital Markets in CDO Misconduct

  By Melanie Waddell, AdvisorOne  |  September 27, 2011

  In the latest crackdown on improper use of CDOs, the SEC on Tuesday charged RBC Capital Markets for misconduct in the sale of unsuitable investments to five Wisconsin school districts

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  Noncompliance Roundup: Stifel, Nicolaus; Citigroup; Janney

  By Editorial Staff  |  August 18, 2011

  A roundup of recent charges, penalties and settlements--this week relating to fraud, insider trading and failure to supervise--from the SEC and FINRA.

• Analysts Cut S&P 500 Profit Outlook

  By John Sullivan, AdvisorOne  |  October 4, 2010

  For the first time in more than a year analysts are cutting their forecasts for Standard & Poor's 500 Index earnings, jeopardizing gains from the largest September rally since World War II.