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 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 ...

Stifel, Nicolaus & Co. has been ordered by a Financial Regulatory Authority arbitration panel to pay an investor couple and their business more than $14.2 million in damages for allegedly breaching ...

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.

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

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 ...

To continue reading this content, please enable JavaScript in your browser settings and refresh this page. Preview this article 1 min A Financial Industry Regulatory ...

For the second time in about two weeks, a FINRA arbitration panel has cited state statutes to slap a wealth management firm with tens of millions of dollars in punitive damages. Arbitrators in both ...