-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, WlELz2cUdrR438N7yP5zVUBSeArSQoVaaHB7Ac9uUkn7q2DkjD9zqLWfMlNIfR2F JdqnYwD1pg4EZp9akr0xHg== 0000720672-02-000020.txt : 20021017 0000720672-02-000020.hdr.sgml : 20021017 20021017163215 ACCESSION NUMBER: 0000720672-02-000020 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20021017 ITEM INFORMATION: FILED AS OF DATE: 20021017 FILER: COMPANY DATA: COMPANY CONFORMED NAME: STIFEL FINANCIAL CORP CENTRAL INDEX KEY: 0000720672 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 431273600 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-09305 FILM NUMBER: 02791761 BUSINESS ADDRESS: STREET 1: ONE FINANCIAL PLAZA STREET 2: 501 N BROADWAY CITY: ST. LOUIS STATE: MO ZIP: 63102-2102 BUSINESS PHONE: 314-342-2000 MAIL ADDRESS: STREET 1: ONE FINANCIAL PLAZA STREET 2: 501 N BROADWAY CITY: ST. LOUIS STATE: MO ZIP: 63102-2102 8-K 1 r8k_oct2002.htm FORM 8-K DATED OCTOBER 17, 2002 SECURITIES AND EXCHANGE COMMISSION

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

 

 

FORM 8-K

 

 

CURRENT REPORT

PURSUANT TO SECTION 13 OR 15(d) OF THE

SECURITIES EXCHANGE ACT OF 1934

 

 

Date of Report (Date of Earliest Event Reported): October 16, 2002

 

 

 

STIFEL FINANCIAL CORP.

(Exact Name of Registrant as specified in its Charter)

Delaware

1-9305

43-1273600

(State of Incorporation)

(Commission File Number)

(IRS Employer

Identification No.)

 

 

 

 

 

 

 

 

One Financial Plaza

501 North Broadway

St. Louis, Missouri 63102-2188

(Address of principal executive offices, including zip code)

 

 

(314) 342-2000

(Registrant's telephone number, including area code

Item 7. Financial Statements, Pro Forma Financial Information and Exhibits

(c) Exhibits.

Exhibit 99: Press Release

Item 9. Regulation FD Disclosure

On October 16, 2002, Stifel Financial Corp. (the "Registrant") announced that an NASD Arbitration panel awarded two customers of its subsidiary, Stifel, Nicolaus & Company, Incorporated, $4.5 million in compensatory damages. The award was issued in connection with the activities of a former Stifel broker in its Pikeville, Kentucky office. The Registrant believes the award was in disregard of the applicable law, and intends to ask the federal court to set aside the decision.

The Registrant anticipates taking an after-tax charge of approximately $3 to $3.5 million for the third quarter ended September 30, 2002.

The press release is attached as Exhibit 99. Certain statements contained in the press release are forward-looking statements. Such statements are based on management's current expectations and actual results may differ materially from those currently expected.

 

 

 

SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

STIFEL FINANCIAL CORP.

Date: October 17, 2002

By: /s/ James M. Zemlyak

 

Name: James M. Zemlyak
 

Title: Chief Financial Officer

 

 

 

 

 

 

 

 

 EX-99 3 r8k_exh99oct.htm EXHIBIT 99 SECURITIES AND EXCHANGE COMMISSION

 

 

Exhibit 99

[Stifel Financial Corp. logo] Stifel Financial News__________________________________________________

One Financial Plaza

501 North Broadway

St. Louis, MO 63102

(314) 342-2000

For further information contact:

Thomas A. Prince

General Counsel

314-342-4068

 

For Immediate Release

 

STIFEL FINANCIAL CORP. ANNOUNCES ARBITRATION AWARD

St. Louis, Missouri, October 16, 2002 - Stifel Financial Corp. announced today that an NASD Arbitration panel awarded two customers of its subsidiary, Stifel, Nicolaus & Company, Incorporated, $4.5 million in compensatory damages. The award was issued in connection with the activities of a former Stifel broker in its Pikeville, Kentucky office. "We believe the award was in disregard of the applicable law, and we intend to ask the federal court to set aside the decision," said Tom Prince, Senior Vice President and General Counsel of Stifel, Nicolaus & Company, Incorporated.

Stifel anticipates taking an after-tax charge of approximately $3 to $3.5 million for the third quarter ending September 30, 2002. The company anticipates releasing third quarter results on October 24, 2002.

Stifel Financial Corp. is a financial services holding company whose subsidiaries are engaged in general securities brokerage, investment banking, and money management with 77 locations in 15 states, primarily in the Midwest. To learn more about Stifel, please visit the Company's web site at www.stifel.com.

 

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