Chuck Roberts ends a decadeslong career amid a flurry of client complaints.

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

"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 ...

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

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 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 ...

A three-person arbitration panel convened by brokerage industry self-regulator Finra this week held that Stifel must pay $132.5 million to resolve allegations of a breach of fiduciary duty ...

Stifel ordered to pay one of the largest-ever Finra arbitration fines for allegedly misleading investors Finra panel says Stifel was ‘required to have heightened supervision’ of a broker ...