12901. Member Surcharge

(a) Member Surcharge
(1) A surcharge in the amount indicated in the schedule below will be assessed against each member that:
(A) Files a claim, counterclaim, cross claim, or third party claim under the Code;
(B) Is named as a respondent in a claim, counterclaim, cross claim, or third party claim filed and served under the Code; or
(C) Employed, at the time the dispu

12900. Fees Due When a Claim Is Filed

(a) Fees for Claims Filed by Customers, Associated Persons and Other Non-Members
(1) Customers, associated persons, and other non-members who file a claim, counterclaim, cross claim or third party claim must pay a filing fee in the amount indicated in the schedule below. 
Filing Fees for Claims Filed by Customers, Associated Persons,
and Other Non-Members

 

Regulatory Notice 20-16

Summary

The COVID-19 pandemic significantly affected firms’ day-to-day operations across the securities industry, including requiring firms to transition most or all their staff to remote work environments and implement remote supervisory practices.

2016050948201 Stifel, Nicolaus & Company, Incorporated CRD 793 AWC sl (2020-1593303569701).pdf

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.

2018057909501 Courtney James Burn CRD 4263447 AWC sl (2020-1593303571234).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057909501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Courtney James Burn, Respondent General Securities Representative CRD No. 4263447 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent, Courtney James Burn, submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on
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