Tagged with "Stifel"

FINRA Removes Arbitrators in Stifel Case, Drawing Scrutiny Over Impartiality Standards

Posted on February 16th, 2026 at 11:53 AM
FINRA Removes Arbitrators in Stifel Case, Drawing Scrutiny Over Impartiality Standards

FINRA agreed to remove two potential arbitrators from an upcoming Stifel Financial arbitration tied to former Miami-based broker Chuck Roberts, a move that could carry broad implications for investor arbitration.

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Stifel Faces Mounting Arbitration Losses Over Chuck Roberts' Structured Note Sales

Posted on July 29th, 2025 at 12:49 PM
Stifel Faces Mounting Arbitration Losses Over Chuck Roberts' Structured Note Sales

Stifel Financial has reached another substantial settlement connected to a controversial structured note strategy promoted by Miami-based broker Chuck A. Roberts.

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LATEST NEWS AND ARTICLES

March 9, 2026
SEC Alerts Investors as to the Relationship Investment Scam

The Securities and Exchange Commission (SEC) has alerted investors that fraudsters increasingly rely on relationship-based investment schemes to steal money.

March 4, 2026
Modern Fraud Schemes Escalate in Scale and Sophistication

A recent panel discussion at the Financial Services Institute OneVoice conference in San Diego highlighted how rapidly evolving fraud schemes continue to victimize both retail and wealthy investors.

March 3, 2026
FINRA Suspends Former Stifel Broker Over Costly Account Switching Trades

The Financial Industry Regulatory Authority (FINRA) suspended a former Stifel, Nicolaus & Co.