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Articles Posted in Nicolaus & Company

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Stifel, Nicolaus & Company and Century Securities Associates Fined by Regulator Over Leveraged ETFs

The Financial Industry Regulatory Authority (FINRA) ordered brokerage firms Stifel, Nicolaus & Company, Incorporated (Stifel Nicolaus) and Century Securities Associates, Inc. (Century Securities) to pay combined fines of $550,000 and nearly $475,000 in restitution to 65 customers concerning allegations of the improper sale of leveraged and inverse exchange-traded funds (ETFs).…

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