InvestmentNews19h
Citing 'egregious conduct,' Finra panel awards Stifel clients a stunning $132.5 million
A three-person arbitration panel overseen by Finra Dispute Resolution Services stunned the financial advice industry on ...
Stifel ordered by FINRA to pay $132.5 million damages to US family
Stifel Financial was ordered by a Financial Industry Regulatory Authority arbitration panel to pay a family $132.5 million ...
Financial Planning15h
Stifel hammered with punitive damages in $133M arbitration award
For the second time in about two weeks, a FINRA arbitration panel has cited state statutes to slap a wealth management firm ...
Financial Advisor18h
Stifel Ordered To Pay Nearly $133M To Family Over Risky Structured Notes
A Finra panel ruled the firm's conduct overconcentrated the family in structured notes and limited industries.
Stifel ordered to pay $132 million for allegedly misleading investor on risky structured notes
A Finra arbitration panel has ordered Stifel Financial Corp. to pay about $132 million in damages for allegedly misleading ...
Wall Street Regulator Orders Stifel to Pay $133 Million in Structured-Notes Case
The largest arbitration award granted to retail clients is the third ruling against Stifel involving advisor Chuck Roberts. More cases are in the pipeline.