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.
Financial Planning1d
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 ...
Stifel ordered to pay one of the largest-ever Finra arbitration fines for allegedly misleading investors
A Finra arbitration panel has ordered Stifel Financial Corp. to pay about $132 million in damages for allegedly misleading ...