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

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

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

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

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

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

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

Italian luxury group Brunello Cucinelli on Thursday said its operating profit had risen 12.9% last year and confirmed ...

A Finra arbitration panel has ordered Stifel Financial Corp. to pay about $132 million in damages for allegedly misleading ...

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 part ...

Stifel, Nicolaus & Company subsidiary to pay ~$132M in a dispute over its investment recommendations, the firm disclosed on Thursday. The company plans to seek a judicial review of the award, which it ...

Lucid (NASDAQ: LCID), the luxury EV maker, has faced a tumultuous start to 2025, with its stock hovering near a year-to-date ...