According to SEC Enforcement Director Gurbir Grewal, Qatalyst Partners did not have to pay a monetary penalty because it self ...

US regulators levied more than $118 million in penalties against several financial firms for failing to keep employees’ ...

The investment bank recently announced that it has entered into a non-binding commitment for a debt financing of the B. Riley ...

The firm was among 11 that agreed to pay a total of $88 million to resolve charges of violating federal securities laws by ...

A pair of SEC commissioners say the treatment of the brokerage firm Qatalyst shows industry watchdogs expect nothing short of ...

With Alex David leaving Stifel, what does that say about the independent brokerage business there,” asks one brokerage executive.

Stifel's Barry Bannister said that the non-farm payroll six-month diffusion index just crossed below a "recession trigger ...

The SEC’s crackdown on texting and the use of unauthorized messaging apps has continued with 12 municipal advisors being charged more than $1.3 million in combined fines, as well as six nationally ...

Thursday was another great day for the markets”—both the Dow Jones Industrial Average and S&P 500 notched record closes, ...

In a report released today, Bill Papanastasiou from Stifel Nicolaus maintained a Hold rating on Bitfarms (BITF – Research Report), with a ...

In a report released today, Justin Keywood from Stifel Nicolaus maintained a Buy rating on ATS Corporation (ATS – Research Report), with ...

According to SEC Enforcement Director Gurbir Grewal, Qatalyst Partners did not have to pay a monetary penalty because it self-reported the results of its investigation.