Stifel Units To Pay FINRA $2.3M Over ETF Supervision Claims

By Emilie Ruscoe (March 26, 2024, 11:00 PM EDT) -- Broker-dealer Stifel Nicolaus & Co. Inc. and an affiliated firm have agreed to pay $2.3 million in fines and restitution to settle the Financial Industry Regulatory Authority's allegations that they failed to properly supervise certain nontraditional exchange-traded funds, causing losses for clients, including seniors....

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