Stifel Financial was ordered by a Financial Industry Regulatory Authority arbitration panel to pay a family $132.5 million ...
The company had filed arbitration claims against a group of advisors who quit to help launch a registered investment advisory ...
A Finra arbitration panel has ordered Stifel Financial Corp. to pay about $132 million in damages for allegedly misleading ...
Stifel Financial Corp.’s broker-dealer unit has seen yet another unfavorable outcome in an industry dispute, and on Friday a ...
A three-person arbitration panel overseen by Finra Dispute Resolution Services stunned the financial advice industry on ...
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 ...
The largest arbitration award granted to retail clients is the third ruling against Stifel involving advisor Chuck Roberts.
A financial industry arbitration panel has ordered Stifel, Nicolaus & Co. Inc. to pay $7 million in attorney’s fees to a ...
For the second time in about two weeks, a FINRA arbitration panel has cited state statutes to slap a wealth management firm ...
Stifel pulls a $1.35 billion team from Raymond James, while LPL draws from Edward Jones and Wells Fargo, in advisor moves ...
(Reuters) - Stifel Financial was ordered by a Financial Industry Regulatory Authority arbitration panel to pay a family $132.5 million for misrepresenting the risk of complex structured notes ...