The brokerage firm argues that the $95 million in damages it incurred from an advisor’s strategy to short-sell Tesla is ...

UBS contends the nearly $70 million in punitive damages it has been ordered to pay a wealthy Iowa family are not justified under federal or state law.

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A financial industry arbitration panel has ordered Stifel, Nicolaus & Co. Inc. to pay $7 million in attorney’s fees to a group of former Stifel advisers in.

Stifel Financial Corp.’s broker-dealer unit has seen yet another unfavorable outcome in an industry dispute, and on Friday a three-person arbitration panel ruled Stifel Nicolaus & Co. Inc. pay $7 ...

The company had filed arbitration claims against a group of advisors who quit to help launch a registered investment advisory firm.

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.

The dancers will return to the Stifel on March 15 and 16, but now Shen Yun is under a cloud of controversy due to its labor practices after a dancer filed a lawsuit against it. The company ...

(Reuters) - Stifel Financial was ordered by a Financial Industry Regulatory Authority arbitration panel to pay a family $132.5 million for misrepresenting the risk of complex structured notes ...

In the firm’s annual report on Finra fines, Pollet noted that Project 2025 - a Heritage Foundation white paper - calls for the abolishment of Finra, stating it has “proved to be ineffective ...

Investors also got their first chance to react to Friday's announcement that the online trading platform has been fined by the Financial Industry Regulatory Authority (FINRA). The independent ...