2019062348302 Stifel, Nicolaus & Company, Inc. CRD 793 AWC lp (2024-1713140412159).pdf

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.
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