Roberts resigned from Stifel earlier this month, the company confirmed at the time. It declined to comment on his ban from ...

Chuck Roberts, the star broker whose structured-notes strategy has resulted in numerous customer complaints and a $132.5 ...

Stifel – so far - is on the hook for more than $166 million in damages, legal fees and settlements in investor complaints ...

The outcome is correct, but it’s disappointing that FINRA had ample opportunity to investigate the merits of clients’ allegations in these claims, including the testimony in the three investor ...

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 panel said Stifel was “required to have heightened supervision” of a broker.

A Stifel Nicolaus "raiding" case against former associates who left to set up their own Indianapolis-based advisory firm is testing the limits of the industry's Broker Protocol, which is designed ...

That broker, who had been granted an exception to Stifel’s policy prohibiting advisors from having power-of-attorney agreements on behalf of nonfamily members, allegedly continued to attempt to ...

Stifel asks a court to overturn the $133 million FINRA arbitration award allotted to a family of investors over a broker's investment recommendations involving structured notes.

ST. LOUIS, May 23, 2024 (GLOBE NEWSWIRE) -- Stifel Financial Corp. (NYSE: SF) today reported selected operating results for April 30, 2024 in an effort to provide timely information to investors ...

Stifel Discover now provides clients with seamless, relevant, and real-time financial intelligence at their fingertips,” said Tom Lee, Stifel’s Head of Investment Products and Services.

The industry self-regulator alleges the brokerage firm failed to supervise a broker who exploited an exception to the firm’s power-of-attorney policy.