EFTA Document EFTA01386113

AGP LP 519 Alpha Group Caudal Paul Barrett Waived Disqualifying Events 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. The Order involved violations of the antifraud provisions of t