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Case Status:    DISMISSED    
On or around 01/25/2011 (Other)

Filing Date: February 18, 2010

According to the press release dated March 23, 2010, the suit alleges Stifel Nicolaus & Company Inc. hired Neil R. Harrison after he had been terminated by former St. Louis-based A.G. Edwards in 2006 for cause for “failing to follow firm policies.” The suit further alleges Stifel Nicolaus & Company Inc., as well their Edwardsville Illinois branch manager, knew from inception of hiring Mr. Harrison that Mr. Harrison engaged in unauthorized trading, excessive trading, “churning,” and engaged in material misrepresentations and omissions in connection with the purchase and sale of an estimated $50 million to $100 million securities transactions from September 2006 until October 2008. The suit also alleges Stifel Nicolaus & Company Inc. had ongoing knowledge of Harrison’s activities through daily, weekly and monthly exception reports generated by Stifel Nicolaus & Company Inc.


Sector: Financial
Industry: Investment Services
Headquarters: United States


Ticker Symbol: SF
Company Market: New York SE
Market Status: Public (Listed)

About the Company & Securities Data

"Company" information provides the industry and sector classification and headquarters state for the primary company-defendant in the litigation. In general, "Securities" information provides the ticker symbol, market, and market status for the underlying securities at issue in the litigation.

In most cases, the primary company-defendant actually issued the securities that are the subject of the litigation, and the securities information and company information relate to the same entity. In a small subset of cases, however, the primary company-defendant is not the issuer (for example, cases against third party brokers/dealers), and the securities information and company information do not relate to the same entity.
COURT: E.D. Missouri
DOCKET #: 10-CV-00295
JUDGE: Hon. Carol E. Jackson
DATE FILED: 02/18/2010
CLASS PERIOD END: 10/30/2009
  1. Goldblatt Law Firm
No Document Title Filing Date
—Reference Complaint Complaint Related Data is not available
—Related District Court Filings Data is not available