The uncle and nephew team that joined Wells Fargo in New York previously generated $2.4 million in annual revenue.

A financial industry arbitration panel has ordered Stifel, Nicolaus & Co. Inc. to pay $7 million in attorney’s fees to a ...

It was the second adverse ruling in a week that a panel has handed to Stifel. Also last week, the firm was ordered to pay more than $132 million in compensatory damages to a father and his three ...

Stifel Financial Corp.’s broker-dealer unit has seen yet another unfavorable outcome in an industry dispute, and on Friday a ...

The company had filed arbitration claims against a group of advisors who quit to help launch a registered investment advisory ...

Stifel pulls a $1.35 billion team from Raymond James, while LPL draws from Edward Jones and Wells Fargo, in advisor moves ...

The largest arbitration award granted to retail clients is the third ruling against Stifel involving advisor Chuck Roberts.

A Finra panel ruled the firm's conduct overconcentrated the family in structured notes and limited industries.

A three-person arbitration panel overseen by Finra Dispute Resolution Services stunned the financial advice industry on ...

Stifel Financial was ordered by a Financial Industry Regulatory Authority arbitration panel to pay a family $132.5 million ...

For the second time in about two weeks, a FINRA arbitration panel has cited state statutes to slap a wealth management firm ...