Broker-dealer

Stifel Bolsters Emerging Markets Group With New Hires

Retrieved on: 
Thursday, October 5, 2023
Susquehanna International Group, Jefferies, NYSE, Eaton Partners, Morgan Stanley, United Kingdom, UniCredit, JP, Insurance, Emerging market, Miller Buckfire & Co., Crédit Agricole, Institution, Broker-dealer, CEEMEA, SF, EM, HSBC, Video game, Security (finance), Incorporated, Stifel

The Emerging Markets Group is responsible for trading, analysis, and distribution of global emerging market securities for the firm’s institutional fixed income clients.

Key Points: 
  • The Emerging Markets Group is responsible for trading, analysis, and distribution of global emerging market securities for the firm’s institutional fixed income clients.
  • “Stifel’s experienced sales team is an anchor for the high-touch service that our clients have become accustomed,” said David Rubulotta, Deputy Co-Head of Fixed Income Capital Markets at Stifel.
  • “This is an exceptional opportunity for us to bring on sales professionals with a strong track record of success and who have a deep understanding of the emerging markets space and the specific needs of institutional investors,” added Daniel Gardella, Head of Emerging Markets at Stifel.
  • Stifel Bank and Stifel Bank & Trust offer a full range of consumer and commercial lending solutions.

FinTech Venture Studio, Surge Ventures Launches Its Inaugural Company, RegVerse and Unveils an Industry First Generative AI-Powered Regulatory Management Platform

Retrieved on: 
Thursday, October 12, 2023
Investment, Broadcom Inc., CCO, Fintech, Collaboration, Intelligence, For, Registered investment adviser, Broker-dealer, Automation, Regulatory technology, AI, Hedge fund, Risk, Communication, Financial services, NSA, Opportunity, Impact, The Compliance Team, LPL Financial, RIAS, Lung compliance, Deposit Insurance Agency of Russia, Marketing, Generative, Synthetic media, Regulation, FINRA, History, Law Enforcement Action Partnership, PARK, BDS, Integrity Management Plan, Advisor Group, Bank, Face, Financial adviser, Medical device, Tourism, Smarsh, Silicon

MENLO PARK, Calif., Oct. 12, 2023 /PRNewswire/ -- Surge Ventures, a FinTech Venture Studio, proudly announces the launch of its inaugural venture, RegVerse which focuses on advancing Regulatory Technology (RegTech). Under the visionary leadership of seasoned WealthTech and RegTech entrepreneur, Sid Yenamandra, RegVerse introduces its flagship product, Avery, which is poised to reshape regulatory change management and tracking of firm-wide compliance protocols for Registered Investment Advisors (RIAs), Hedge Funds, Mutual Funds, Insurance Agencies, Banks and Broker-Dealers (BDs).

Key Points: 
  • In a world where regulatory complexities can be overwhelming, Avery by RegVerse offers a game-changing solution.
  • Its mission is to minimize regulatory risks while saving valuable time and resources for financial advisors and firms.
  • Mr. Yenamandra, Co-Founder of Surge Ventures and CEO of RegVerse, emphasizes the profound impact of Avery, stressing that "navigating intricate regulations presents an ongoing challenge for firms of all sizes.
  • Unified Collaboration Hub: Avery streamlines communication and teamwork, simplifying regulatory management, information exchange, task allocation, and progress tracking.

Stifel Enhances Options and Equity Derivatives Offering with Key New Hires

Retrieved on: 
Wednesday, October 4, 2023
Second derivative, Eaton Partners, ETF, SVB Securities, Specialization, SF, Research, Tenant, Broker-dealer, Miller Buckfire & Co., Turnaround ADR, NYSE American, American Stock Exchange Building, United Kingdom, NYSE, Security (finance), Stifel, LATAM, Incorporated, J. P. Morgan

ST. LOUIS, Oct. 04, 2023 (GLOBE NEWSWIRE) -- Stifel Financial Corp. (NYSE: SF) today announced several key hires to its Options and Equity Derivatives team, helping to enhance the depth and breadth of its product suite for institutional investors.

Key Points: 
  • ST. LOUIS, Oct. 04, 2023 (GLOBE NEWSWIRE) -- Stifel Financial Corp. (NYSE: SF) today announced several key hires to its Options and Equity Derivatives team, helping to enhance the depth and breadth of its product suite for institutional investors.
  • “Stifel’s options and equity derivatives offering is built around the core concept of synthesizing the most relevant information from across markets into value-added strategy recommendations to help clients both generate and protect returns,” said Hugh Warns, Global Head of Equities at Stifel.
  • Previously, Southard was a Vice President of Equity Derivatives Sales at Stifel.
  • “I’m pleased to welcome Eric, Sean, and Jack to Stifel,” added Brian Donlin, Head of Equity Derivatives Strategy and Co-Head of U.S. Equity Research.

Eventus, Phillip Capital Inc. announce extension of relationship for trade surveillance on all PhillipCapital markets

Retrieved on: 
Tuesday, October 3, 2023
PhillipCapital, Fatal Five, Partnership, Bonus Eventus, Broker-dealer, FCM, Security (finance), Eurex Exchange

PhillipCapital CEO Filippo Lecchini said: "I am thrilled to announce the extension of our partnership with Eventus for the foreseeable future.

Key Points: 
  • PhillipCapital CEO Filippo Lecchini said: "I am thrilled to announce the extension of our partnership with Eventus for the foreseeable future.
  • Our journey with Eventus commenced in 2017 when Phillip Capital first discovered this innovative company.
  • Eventus CEO Travis Schwab said: "We are so grateful that PhillipCapital is extending our long-standing relationship.
  • PhillipCapital uses Validus for trade surveillance on all futures, equities and equity options transacted through the FCM and broker-dealer.

Eventus, Phillip Capital Inc. announce extension of relationship for trade surveillance on all PhillipCapital markets

Retrieved on: 
Tuesday, October 3, 2023
PhillipCapital, Fatal Five, Partnership, Bonus Eventus, Broker-dealer, FCM, Security (finance), Eurex Exchange

PhillipCapital CEO Filippo Lecchini said: "I am thrilled to announce the extension of our partnership with Eventus for the foreseeable future.

Key Points: 
  • PhillipCapital CEO Filippo Lecchini said: "I am thrilled to announce the extension of our partnership with Eventus for the foreseeable future.
  • Our journey with Eventus commenced in 2017 when Phillip Capital first discovered this innovative company.
  • Eventus CEO Travis Schwab said: "We are so grateful that PhillipCapital is extending our long-standing relationship.
  • PhillipCapital uses Validus for trade surveillance on all futures, equities and equity options transacted through the FCM and broker-dealer.

Stifel Announces Pending Retirement of Global Fixed Income Head Eric Needleman

Retrieved on: 
Monday, October 2, 2023
Insurance, Eaton Partners, Partnership, SF, Cultural Institutions Group, Broker-dealer, Miller Buckfire & Co., Acquisition, United Kingdom, NYSE, Management, Security (finance), Stifel, Incorporated

ST. LOUIS, Oct. 02, 2023 (GLOBE NEWSWIRE) -- Stifel Financial Corp. (NYSE: SF) today announced that Eric Needleman, Global Head of Fixed Income, plans to retire at the end of this year.

Key Points: 
  • ST. LOUIS, Oct. 02, 2023 (GLOBE NEWSWIRE) -- Stifel Financial Corp. (NYSE: SF) today announced that Eric Needleman, Global Head of Fixed Income, plans to retire at the end of this year.
  • “He set a standard of excellence that will continue to define Stifel's approach to the fixed income business.
  • During his tenure, Stifel’s Fixed Income Division has achieved remarkable milestones, maintained a strong reputation for excellence, and delivered exceptional value to clients.
  • “It has been a privilege to serve as Stifel’s Global Head of Fixed Income, and I greatly appreciate the support and partnership I have received over the years from clients and colleagues alike,” commented Mr. Needleman.

Music Licensing, Inc. (OTC: SONG) Pursues $386.6 Million in Damages from OTC Link LLC, a Wholly-Owned Subsidiary of OTC Markets Group (OTC: OTCM), Holding Firm in Pursuit of Accountability

Retrieved on: 
Monday, October 2, 2023
Caveat emptor, FAMILY, Jake, MUSIC, FINANCIAL, OTC Markets Group, Broker-dealer, Music industry, INC, Investment, OTC, FINRA, Security (finance)

The company is vigorously pursuing $386,574,108.25 USD in damages from OTC Link LLC., a registered broker-dealer and a wholly-owned subsidiary of OTC Markets Group (OTC: OTCM).

Key Points: 
  • The company is vigorously pursuing $386,574,108.25 USD in damages from OTC Link LLC., a registered broker-dealer and a wholly-owned subsidiary of OTC Markets Group (OTC: OTCM).
  • Music Licensing, Inc. is resolute in asserting that OTC Link LLC must be held accountable for its actions.
  • OTC Markets Group has attempted to shield itself by categorizing their role as that of a "publisher" rather than acknowledging that OTC Link is a broker-dealer.
  • We also raise questions about the practice of OTC Markets Group placing compliance flags on OTC issuers' market profiles, including "Caveat Emptor, Shell Risk, Delinquency, Promotion."

Moving iMage Technologies (MiT) Announces 10b5-1 Stock Trading Plan

Retrieved on: 
Monday, October 2, 2023
Other Manufacturing, eSports, Technology, Sports, Entertainment, Software, Manufacturing, Audio, Video, Film & Motion Pictures, Hardware, Massachusetts Institute of Technology, Policy, Graphic Imaging Technology, Rule, Share repurchase, Broker-dealer, NYSE, Television, Financial adviser

Moving iMage Technologies (NYSE American: MITQ) (“MiT”), a leading technology and services company for cinema, Esports, stadiums, arenas and other out-of-home entertainment venues, today announced it has entered into a 10b5-1 stock trading plan to facilitate the Company’s previously re-authorized one-year, $1 million share repurchase program announced on March 23, 2023.

Key Points: 
  • Moving iMage Technologies (NYSE American: MITQ) (“MiT”), a leading technology and services company for cinema, Esports, stadiums, arenas and other out-of-home entertainment venues, today announced it has entered into a 10b5-1 stock trading plan to facilitate the Company’s previously re-authorized one-year, $1 million share repurchase program announced on March 23, 2023.
  • All repurchases will be implemented in accordance with the applicable requirements of Rule 10b-18 under the U.S. Securities Exchange Act of 1934.
  • Through June 30, 2023, the Company had repurchased approximately 273,000 shares for $303,000, leaving $697,000 available for future repurchases.
  • An independent U.S. broker-dealer is acting as the Company’s agent to purchase its shares on pre-arranged terms pursuant to the Rule 10b5-1 stock trading plan.

Stifel Expands SBA Trading Capabilities With Addition of Industry-Leading SBA 7(a) Trading Team

Retrieved on: 
Friday, September 29, 2023
Insurance, Eaton Partners, JPMorgan Chase, FHN, SF, Small Business Administration, Research, Broker-dealer, Rate, Miller Buckfire & Co., Credit Suisse, SBAP, Goldman Sachs, Russell, SBA, United Kingdom, Growth, SBIC, NYSE, Bank, Security (finance), Stifel, Incorporated

“We are thrilled to welcome Craig and Chris to the team,” said Eric Needleman, Global Head of Fixed Income Capital Markets at Stifel.

Key Points: 
  • “We are thrilled to welcome Craig and Chris to the team,” said Eric Needleman, Global Head of Fixed Income Capital Markets at Stifel.
  • They managed the firm’s loan, security, and interest-only products, and were instrumental in the development of prepayment models and research.
  • “Craig and Chris bring an unmatched level of experience and energy to the SBA 7(a) and Government Guaranteed Loan trading space,” added Grant Robicheaux, Head of Rates Trading at Stifel.
  • Stifel Bank and Stifel Bank & Trust offer a full range of consumer and commercial lending solutions.

Stifel Reports August 2023 Operating Data

Retrieved on: 
Thursday, September 28, 2023
Eaton Partners, SF, Broker-dealer, Miller Buckfire & Co., First Franklin Financial Corp., NYSE, Security (finance), Financial adviser, Stifel, Incorporated

Stifel Financial Corp. (NYSE: SF) is a financial services holding company headquartered in St. Louis, Missouri, that conducts its banking, securities, and financial services business through several wholly owned subsidiaries.

Key Points: 
  • Stifel Financial Corp. (NYSE: SF) is a financial services holding company headquartered in St. Louis, Missouri, that conducts its banking, securities, and financial services business through several wholly owned subsidiaries.
  • Stifel’s broker-dealer clients are served in the United States through Stifel, Nicolaus & Company, Incorporated, including its Eaton Partners business division; Keefe, Bruyette & Woods, Inc.; Miller Buckfire & Co., LLC; and Stifel Independent Advisors, LLC.
  • The Company’s broker-dealer affiliates provide securities brokerage, investment banking, trading, investment advisory, and related financial services to individual investors, professional money managers, businesses, and municipalities.
  • Stifel Bank and Stifel Bank & Trust offer a full range of consumer and commercial lending solutions.