Stifel Financial was ordered by a Financial Industry Regulatory Authority arbitration panel to pay a family $132.5 million ...

A three-person arbitration panel overseen by Finra Dispute Resolution Services stunned the financial advice industry on ...

For the second time in about two weeks, a FINRA arbitration panel has cited state statutes to slap a wealth management firm ...

The largest arbitration award granted to retail clients is the third ruling against Stifel involving advisor Chuck Roberts.

The U.S. Treasury on Thursday confirmed that a license allowing a wind-down of energy transactions with Russian financial institutions expired as scheduled this week under stiff sanctions imposed in ...

Stifel Financial Corp. (NYSE: SF) has recently been ordered by a FINRA arbitration panel to pay approximately $132 million, ...

The current legal battle with a broker-dealer, Alpine Securities, is the latest challenge for the industry regulator.

A Finra panel ruled the firm's conduct overconcentrated the family in structured notes and limited industries.