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 ...

A Finra arbitration panel has ordered Stifel Financial Corp. to pay about $132 million in damages for allegedly misleading investors by pitching a product as less risky than it actually was, as ...

The decision came the same week Finra arbitrators ordered Stifel to pay roughly $133 million to four customers who had alleged breach of fiduciary duty and other misconduct by their Stifel advisor ...

Stifel Financial was ordered by a Financial Industry Regulatory Authority arbitration panel to pay a family $132.5 million for misrepresenting the risk of complex structured notes, causing what ...

Stifel gets hit with nearly $80 million in punitive damages in a $133 million arbitration award over a broker's risky recommendations.

A Finra arbitration panel has ruled that Stifel, Nicolaus & Co. failed to prove its case against a former Indianapolis broker team it accused of “raiding” its employees and business and ...

A Finra arbitration panel has ordered Stifel Financial Corp. to pay about $132 million in damages for allegedly misleading investors by pitching a product as less risky than it actually was, as ...

Stifel gets another multimillion-dollar FINRA penalty for one of its broker's recommendations of complex structured notes.

Wall Street Regulator Orders Stifel to Pay $133 Million in Structured-Notes Case The largest arbitration award granted to retail clients is the third ruling against Stifel involving advisor Chuck ...