Stifel Financial recently paid an additional $850,000 to settle another arbitration claim against the firm related to a former broker’s sales of structured notes, according to BrokerCheck. It’s the ...

Last month Stifel Nicolaus & Co. Inc. agreed to pay a $35 million penalty to settle charges with the Securities and Exchange Commission that the firm, like many of its competitors, had longstanding ...

A veteran financial advisor with Stifel Nicolaus & Co. Inc. is facing a rash of investor complains stemming from the sale of structured notes, the performance of which is typically tied to an ...

Text messaging is at the heart of a series of arbitration complaints that are seeing Stifel fork out millions over one of its brokers touting structured notes. Processing Content St. Louis-based ...

Stifel, Nicolaus & Co. has been ordered by a Financial Regulatory Authority arbitration panel to pay an investor couple and their business more than $14.2 million in damages for allegedly breaching ...

Stifel has been hit with a large penalty in an arbitration case stemming from a broker’s structured-notes strategy that has resulted in more than a dozen investor complaints.

For the second time in about two weeks, a FINRA arbitration panel has cited state statutes to slap a wealth management firm with tens of millions of dollars in punitive damages. Arbitrators in both ...

A U.S. district court magistrate has recommended that Stifel’s motion to vacate a nearly $133 million arbitration award be denied, according to a court filing. The Financial Industry Regulatory ...

Chuck Roberts, the star broker whose structured-notes strategy has resulted in numerous customer complaints and a $132.5 million arbitration award, has left Stifel, according to registration records.

To continue reading this content, please enable JavaScript in your browser settings and refresh this page. Preview this article 1 min A Financial Industry Regulatory ...