Stifel Financial recently paid an additional $850,000 to settle another arbitration claim against the firm related to a former broker’s sales of structured notes, according to BrokerCheck. It’s the ...

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 ...

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 ...

A veteran financial advisor with Stifel Nicolaus & Co. Inc. is facing a rash of investor complains stemming from the sale of structured notes, the performance of which is typically tied to an ...

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 is asking a court to toss out a nearly $133 million arbitration penalty, alleging that one of the arbitrators was biased by previous work on a related case. Processing Content In a petition ...

A U.S. district court magistrate has recommended that Stifel’s motion to vacate a nearly $133 million arbitration award be denied, according to a court filing. The Financial Industry Regulatory ...

Chuck Roberts, the star broker whose structured-notes strategy has resulted in numerous customer complaints and a $132.5 million arbitration award, has left Stifel, according to registration records.

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Alternative investments do not correlate with the stock market and can produce gains when the overall market is down. Structured notes are one of the available alternative investments. These ...