Stifel Nicolaus – Financial Treason & Crime

Hannah Godfrey, 04 March 2021

The city watchdog has banned ex-City of London trader Adrian Geoffrey Horn after he engaged in ‘wash trading’, a form of market abuse.

Horn, who worked as a market making trader at Cheapside-based Stifel Nicolaus Europe, was fined £52,000 by the Financial Conduct Authority (FCA) and banned for carrying out any regulated work in the future. Continue reading “Article: Watchdog bans City of London trader for ‘wash trading’”

03/04/202104/15/2021

Article: FCA Fines Ex-Stifel Nicolaus Trader For Misleading Market

Article - Media, Publications

FCA Fines Ex-Stifel Nicolaus Trader For Misleading Market

Najiyya Budaly, 04 March 2021

The Financial Conduct Authority said Thursday it has fined a former Stifel Nicolaus trader and banned him from regulated activities for executing 129 so-called wash trades that misled the market about demand for his client’s shares.

The City watchdog said it has fined Adrian Geoffrey Horn £52,500 ($73,302) for market abuse and banned him indefinitely from performing any function related to a regulated activity. Horn was a former market making trader at Stifel Nicolaus Europe Ltd., which meant that he both bought and sold securities. Continue reading “Article: FCA Fines Ex-Stifel Nicolaus Trader For Misleading Market”

05/11/2020

Tip: Market Makers (aka Naked Short Sellers) To Watch Out For

Tip

Most aggressive in bold.

Alpine Securities Corporation
Alternative Execution Group
Ascendiant Capital Markets LLC
Biltmore International Corporation
BMA Securities
BTIG LLC
Buckman, Buckman & Reid, Inc.
CRT Capital Group LLC
D. A. Davidson & Co.
Delaney Equity Group LLC
Dinosaur Financial Group LLC
Fig Partners LLC
Glendale Securities Inc.
GMP Securities LLC
Intl Fcstone Financial Inc.
Keefe, Bruyette & Woods, Inc.
Maxim Group LLC
Monroe Financial Partners Inc.
Puma Capital LLC
Rafferty Capital Markets LLC
Raymond James & Associates Inc.
R. F. Lafferty & Co. Inc.
Spartan Securities Group LLC
Stifel, Nicolaus & Company, Incorporated
Stockcross Financial Services, Inc.
The Vertical Trading Group LLC
Tradition Asiel Securities Inc.
T.R. Winston & Company LLC
Vandham Securities Corporation
Vfinance Investments, Inc.
Wall Street Access
Wedbush Securities Inc.
Wilson-Davis & Co. Inc.