Displaying 2 results
Repeat flubs at Stifel over complex products: Finra
Stifel broker-dealers agree to fines and restitution of almost $3 million as a result of shortcomings in supervision and compliance related to sales of non-traditional exchange-traded products.
Stifel advisor facing $23.5 million in investor claims over structured notes
The Miami Beach, Florida-based advisor, Chuck Roberts, is a 33-year industry veteran and has worked at Stifel since 2016.
