Illegal Activity
none
Blackmail
none
Date
2015-06-18
Document Type
report
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:41
Summary
This document details an order issued by the SEC against Stifel, Nicolaus & Company, Incorporated for violations of antifraud provisions related to municipal securities offerings. It also notes that the SEC granted Stifel a waiver from disqualification provisions simultaneously with the order.
Metadata
- Subject
- Waived Disqualifying Events
- Sender
- —
- Recipients
- —
- Document ID
- DB-SDNY-0087664
- Date
- 2015-06-18
Relationships 1
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| Stifel, Nicolaus & Company, Incorporated | Legal/Regulatory | Securities and Exchange Commission (SEC) | Stifel consented to an order by the SEC and received a waiver from disqualification provisions. |
Notable Quotes 2
On June 18, 2015, without admitting or denying the findings therein, Stifel, Nicolaus & Company, Incorporated ("Stifel") consented to the entry of an order (the "Order") against Stifel by the Securities and Exchange Commission (the "SEC") instituted pursuant to Section 8A of the Securities Act of 1933 and Section 15(b) of the Securities Exchange Act of 1934.
Simultaneously with the entry of the Order, the SEC granted Stifel a waiver (the "Waiver") from the application of the disqualification provisions of Rules 506(dX1)(iv).
Financial Information
Amounts:$500,000
Transactions:
- Stifel paid a civil money penalty of $500,000 to the SEC
Public Knowledge
- Context
- SEC enforcement actions and waivers are often public knowledge.
- Media Worthy
- Yes
Legal Compliance
- Violations of the antifraud provisions of the federal securities laws in connection with Stifel's underwriting of certain municipal securities offerings.
- Stifel is required to cease and desist from committing or causing any violations and any future violations of Section 17(aX2) of the Securities Act.
Raw Analysis JSON
click to expand
Themes
Legal matters/litigationFinancial transactions/money flowBusiness dealings
People 1
Organizations 4
AGP LPAlpha Group CaudalStifel, Nicolaus & Company, IncorporatedSecurities and Exchange Commission (SEC)
Financial Entities 1
Stifel, Nicolaus & Company, Incorporated
Text Analysis
- Tone
- Informative
- Purpose
- To document the waiver of disqualifying events for Stifel, Nicolaus & Company, Incorporated following an order by the SEC.
- Significance
- Details a legal and regulatory action against Stifel and the subsequent waiver granted by the SEC.
File Info
- File Name
- EFTA01386113.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:41:07.981214
- DOJ Source
- View on DOJ