The firm reached a confidential agreement with the Jannetti family in its case involving a $133 million FINRA arbitration ...

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 ...

A series of settlements and arbitration awards since late 2022 require Stifel to pay hundreds of millions over recommendations made by its former broker Chuck Roberts.

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 ...

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 ...

The brokerage industry’s self-regulator is launching a so-called sweep exam looking at how firms are handling their ...

March 13 (Reuters) - Stifel Financial (SF.N), opens new tab was ordered by a Financial Industry Regulatory Authority arbitration panel to pay a family $132.5 million for misrepresenting the risk of ...

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 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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