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EFTA Document EFTA01386112
Title Matchefta-efta01386112
Case Filesd-10-EFTA01386112Dept. of JusticeEFTA Document EFTA01386112
Unknown1p
Case File
sd-10-EFTA01386112Dept. of JusticeEFTA Document EFTA01386112
Other
AGP LP 519 Alpha Group Caudal Paul Barren STIFEL, NICOLAUS & COMPANY, INCORPORATED Waived Disqualifying Events On December 6, 2016, a final judgment ("Judgment") was entered against Stifel, Nicolaus & Company, Inc. ("Stifel Nicolaus") by the United States District Court for the Eastern District of Wisconsin (Civil Action No. 2:11-cv-00755) resolving a civil lawsuit filed by the U.S. Securities & Exchange Commission (the "SEC") in 2011 involving violations of several antifraud provisions o
Date
Unknown
Source
Dept. of Justice
Reference
sd-10-EFTA01386112
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