Chuck Roberts, who advocated a structured-notes strategy to some clients, has been the subject of 31 customer complaints ...

Stifel – so far - is on the hook for more than $166 million in damages, legal fees and settlements in investor complaints ...

Some investors recently have seen million dollar plus decisions by FINRA arbitration panels involving complex products ...

"I've always really enjoyed what I do," said Henry, who began doing legal work involving municipal securities in 1981.

Panelists on a FINRA arbitration board cited Randy Anderson's claims of age discrimination when questioning UBS's reasons for ...