Stifel, Nicolaus & Company Inc.

04/02/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110260762-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Stifel, Nicolaus & Company, Incorporated, Respondent Broker/Dealer CRD No. 793 Pursuant to FINRA Rule 9216 of FINRA Code of Procedure, Stifel, Nicolaus & Company, Incorporated ("the firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2011026076201data-portal.finra.orgfinra.org

09/22/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009020810101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Stifel, Nicolaus & Company, Inc. Respondent CRD No. 793 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Stifel, Nicolaus & Company, lnc. ("Stifel" or the "Firm"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

Reference 2009020810101data-portal.finra.orgfinra.org

09/01/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057286802 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Stifel, Nicolaus & Company, Inc., Respondent Member Firm CRD No. 793 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Stifel, Nicolaus & Company, Inc. (Stifel) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2018057286802data-portal.finra.orgfinra.org

02/27/2014: FINRA FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110292929-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Stifel, Nicolaus & Company, Incorporated, Respondent Broker/Dealer CRD No. 793 Pursuant to FINRA Rule 9216 of FINRA Code of Procedure, Stifel, Nicolaus & Company, Incorporated ("the firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

Reference 2011029292901data-portal.finra.orgfinra.org

06/03/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130358501-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Stifel, Nicolaus & Company, Incorporated, Respondent Broker/Dealer CRD No. 793 Pursuant to FINRA Rule 9216 of FINRA Code of Procedure, Stifel, Nicolaus & Company, Incorporated (“the firm") submits this Letter of Acceptance, Waiver and Consent (“AWC") for the purpose of proposing a settlement

Reference 2013035850101finra.orgdata-portal.finra.org

08/06/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080148650-02 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Stifel, Nicolaus & Company, Incorporated, Respondent Broker/Dealer CRD No. 793 Pursuant to FINRA Rule 9216 of FINRA Code of Procedure, Stifel, Nicolaus & Company, Incorporated ("the firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2008014865002data-portal.finra.orgfinra.org

08/21/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20060016439-01 TO: Department of Market Regulation NASD RE: Stifel, Nicolaus & Co., Inc., Respondent Broker-Dealer CRD No. 793 Pursuant to Rule 9216 of the NASD Code of Procedure, Stifel, Nicolaus & Co., Inc. ("the firm")' submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II

Reference 2005001643901finra.orgdata-portal.finra.org

04/11/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013036354001 TO: Department of Enforccment Financial Industry Regulatory Authority ("FINRA'') RE: Stifel, Nicolaus & Company, Incorporated, Respondent Broker-Dealer CRD No. 793 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Stifel, Nicoiaus & Company, Incorporated (''Stifel" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

Reference 2013036354001data-portal.finra.orgfinra.org

03/24/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140418511-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Stifel, Nicolaus & Company, Incorporated, Respondent Broker-Dealer CRD No. 793 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Stifel, Nicolaus & Company, Incorporated (the "firm") submits this Letter of Acceptance, Waiver and Consent (''AWC") for thc purpose of proposing a settlement of the alleged

Reference 2014041851101data-portal.finra.orgfinra.org

08/14/2025: Between January 2020 and December 2023, Stifel violated Rule 606(a) of Regulation NMS under the Securities Exchange Act of 1934 and FINRA Rule 2010 by publishing quarterly reports on its handling of customer orders in National Market System (NMS) securities that were inaccurate or incomplete. In addition, between January 2020 and April 2025, the firm’s supervisory system, including its written supervisory procedures (WSPs), was not reasonably designed to achieve compliance with Rule 606(a), and therefore the firm violated FINRA Rules 3110 and 2010. For these violations, the firm is censured and fined $175,000.

Reference 2022073415101data-portal.finra.orgfinra.org

08/06/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090170595-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Stifel, Nicolaus & Company, Incorporated, Respondent Broker/Dealer CRD No. 793 Pursuant to FINRA Rule 9216 of FINRA Code of Procedure, Stifel, Nicolaus & Company, Incorporated ("the firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2009017059501data-portal.finra.orgfinra.org

sec.govsec.gov

06/10/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130370385-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Stifel, Nicolaus & Company, Incorporated, Respondent Broker/Dealer CRD No. 793 Pursuant to FINRA Rule 9216 of FINRA Code of Procedure, Stifel, Nicolaus & Company, Incorporated ("the firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose

Reference 2013037038501data-portal.finra.orgfinra.org

09/13/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20160505068-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Stifel, Nicolaus & Company, Inc., Respondent Broker-Dealer CRD No. 793 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Stifel, Nicolaus & Company, Inc. (the "Firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

Reference 2016050506801data-portal.finra.orgfinra.org

04/26/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011027891502 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Stifel, Nicolaus & Co., Inc., Respondent Broker-Dealer CRD No. 793 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Stifel, Nicolaus & Co., Inc. (the "firm" or "Respondent") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

Reference 2011027891502data-portal.finra.orgfinra.org

09/27/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100215984-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Stifel, Nicolaus & Company, Incorporated, Respondent Broker/Dealer CRD No. 793 Pursuant to FINRA Rule 9216 of FINRA Code of Procedure, Stifel, Nicolaus & Company, Incorporated ("the firm'') submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2010021598401data-portal.finra.orgfinra.org

12/23/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120341392-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Stifel, Nicolaus & Company, Incorporated, Respondent Broker/Dealer CRD No. 793 Pursuant to FINRA Rule 9216 of FINRA Code of Procedure, Stifel, Nicolaus & Company, Incorporated ("the firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2012034139201data-portal.finra.orgfinra.org

10/27/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20070112931-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Stifel, Nicolaus & Company, Incorporated, Respondent Broker-Dealer CRD No. 793 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Stifel, Nicolaus & Company, Incorporated (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2007011293101data-portal.finra.orgfinra.org

01/26/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140425127-01 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Stifel, Nicolaus & Company, Inc., Respondent Broker-Dealer CRD No. 793 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Stifel, Nicolaus & Company, Inc. (the “firm” or “Respondent”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged

Reference 2014042512701finra.orgdata-portal.finra.org

10/21/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120316576- 01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Stifel, Nicolaus & Company, Incorporated, Respondent Broker/Dealer CRD No. 793 Pursuant to FINRA Rule 9216 of FINRA Code of Procedure, Stifel, Nicolaus & Company, Incorporated ("the firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

Reference 2012031657601data-portal.finra.orgfinra.org

12/23/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20100217478-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Stifel, Nicolaus & Company, Incorporated, Respondent Broker/Dealer CRD No. 793 Pursuant to FINRA Rule 9216 of FINRA Code of Procedure, Stifel, Nicolaus & Company, Incorporated ("the firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2010021747801data-portal.finra.orgfinra.org

03/07/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060039884-01 To: Department of Enforcement NASD Re: Stifel, Nicolaus & Company, Incorporated Member (CRD No. 793) Pursuant to NASD Procedural Rule 9216, Stifel, Nicolaus & Company, Inc. (Stifel) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future

Reference 2006003988401data-portal.finra.orgfinra.org

03/15/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062348302 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Stifel, Nicolaus & Company, Inc. (Respondent) Member Firm CRDNo. 793 Pursuant to FINRA Rule 9216, Respondent Stifel, Nicolaus & Company, Inc. (Stifel) submits this Letter of Acceptance, Waiver, and Consent (A WC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2019062348302data-portal.finra.orgfinra.org

05/28/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050948201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Stifel, Nicolaus & Company, Incorporated, Respondent Member Firm CRD No. 793 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Stifel, Nicolaus & Company, Incorporated (“Stifel” or the “Firm”) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2016050948201data-portal.finra.orgfinra.org

01/05/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012032945601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Stifel, Nicolaus & Company, Inc. (CRD No. 793) Kurt A. LaLomia (CRD No. 1926472) Respondents Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC

Reference 2012032945601finra.orgdata-portal.finra.org

10/27/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015045163601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Stifel, Nicolaus & Company, Incorporated, Respondent CRD No. 793 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Stifel, Nicolaus & Company, Incorporated ("Stifel Nicolaus" or "Respondent") submits this Letter of Acceptance. Waiver and Consent ("AWC") for the purpose of proposing a settlement of

Reference 2015045163601data-portal.finra.orgfinra.org

06/27/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013034947901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Stifel, Nicolaus & Company, Inc., Respondent Member Firm CRD No. 793 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Stifel, Nicolaus & Company, Inc. (''Stifel" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2013034947901data-portal.finra.orgfinra.org

01/26/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20170532505-01 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Stifel, Nicolaus & Company, Inc., Respondent Broker-Dealer CRD No. 793 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Stifel, Nicolaus & Company, Inc. (the “firm” or “Respondent”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged

Reference 2017053250501data-portal.finra.orgfinra.org

01/28/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT CLG050006 TO: Department of Market Regulation NASD RE: Stifel, Nicolaus & Company, Incorporated, Respondent Broker-Dealer CRD No. 793 Pursuant to Rule 9216 of NASD Code of Procedure, Stifel, Nicolaus & Company, Incorporated (the "firm" or "STFL") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC

Reference CLG050006finra.orgdata-portal.finra.org

03/26/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009020149801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Stifel, Nicolaus & Company, Incorporated, Respondent CRD No. 793 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Stifel, Nicolaus & Company, Incorporated ("Respondent,'' "Stifel" or the "Firm") submits this letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2009020149801data-portal.finra.orgfinra.org