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

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 ...

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 ...

Roberts has lined up a buyer for his Bay Point waterfront home in Miami, according to market reports. The pending deal comes ...

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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