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 series of settlements and arbitration awards since late 2022 require Stifel to pay hundreds of millions over ...

Stifel Financial has been ordered to pay another million-dollar-plus arbitration award tied to its alleged supervisory failures related to its former broker Chuck Roberts ' sales of structured notes.

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 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.

Stifel Financial Corp. saw its retail broker-dealer lose another multi-million-dollar lawsuit involving complex products and a star broker in south Florida, with a Finra arbitration panel last week ...

Stifel Nicolaus is planning to ask a court to vacate an arbitration ruling that ordered it to pay more than $14 million related to a structured note strategy overseen by one of Stifel’s brokers in ...

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KlaymanToskes reports the filing of $24 million in investment recovery claims by customers of Chuck A. Roberts, a leading broker/investment advisor at Stifel’s New York, NY branch. The pending ...