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Repeat flubs at Stifel over complex products: Finra
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Almost a decade after paying $1 million in penalties for similar violations, Stifel Financial Corp.
broker-dealers agreed yesterday to fines and restitution of almost $3 million as a result of shortcomings in supervision and compliance related to financial advisors' sales of non-traditional exchange
. Read more on investmentnews.comAbout this in other media
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