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 ...

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 Financial has suffered another costly loss in Finra arbitration.ncial. A panel of three arbitrators rejected Stifel’s claims of raiding and breach of contract against six Indianapolis ...

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, ...

FINRA arbitration panels seldom go into the reasons for their decisions, but the Stifel ruling did provide some detailed justifications for the punitive damages award.

A Finra arbitration panel last week ruled that Stifel, Nicolaus & Co., failed to prove its case against a former Indianapolis 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 ...

This isn't the first time Stifel has been hit with a FINRA arbitration award over Roberts' recommendations, and is unlikely to be the last. A three-member panel came down on Stifel last month with ...

Stifel Ordered by FINRA to Pay $132.5 Million Damages to US Family. By Reuters | March 13, 2025. By Reuters | March 13, 2025, at 12:02 p.m. Save. More.