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Nasdaq fines Stifel, Nicolaus & Company for alleged rule violations

Stifel, Nicolaus & Company, Inc has agreed to pay a fine of $70,000 as a part of a settlement with Nasdaq.

Stifel, Nicolaus & Company, Incorporated has agreed to pay $175,000 fine for alleged violations of FINRA rules.

Stifel Financial Corp. (NYSE:SF) today announced it has entered into a prime brokerage services referral partnership with Marex Group.

The FCA has banned Adrian Geoffrey Horn, formerly a market making trader at Stifel Nicolaus Europe Limited, for market abuse.