Structured Note Lawyers

Are You An Investor Who Suffered Losses While Working With Stifel, Nicolaus & Co. Broker Chuck Roberts? There Is Still Time To Explore Your Legal Options. Contact Our Structured Note Lawyers

Shepherd Smith Edwards and Kantas (investorlawyers.com) are continuing to speak with former customers of Stifel, Nicolaus & Co. financial advisor Chuck Roberts. This registered representative heads up the firm’s CR Wealth Management Group.

He is still with Stifel even though investors who worked with him have filed at least $41.2M in broker fraud lawsuits over losses they allegedly sustained in structured products he recommended, including auto-callable notes. Visit Roberts’ CRD for more information.

The claimants are accusing him of financial advisor fraud, negligence, breach of contract, misrepresentations and omission, unsuitability, breach of judiciary, and more. Roberts, who is a New York broker, is also a Miami Beach investment adviser for Stifel.

 Should Stifel Be Liable For Your Structured Product Losses?

Structured notes are high-risk investments that can be very volatile and speculative. They are unsuitable for many investors. Even for those for whom they are an appropriate recommendation, the risk of losing a lot of money can be significant.

Many of the investors who worked with Roberts say that he never fully apprised them of what could be at stake, and he even allegedly misrepresented certain structured products as “almost like a substitution for bonds,” which would be very inaccurate and misleading.

Roberts also allegedly marketed speculative stock trades and stocks from companies that were not making profits. Some of these may have been, purportedly, been unauthorized trades.

Even if Stifel, Nicolaus & Co. was unaware of Robert’s allegedly fraudulent misconduct, it is the broker-dealer’s job to properly oversee its registered representative and their customers’ accounts. Failure to supervise, identify red flags, or notice anything was amiss could be grounds for pursuing damages from the firm.

 How Can Our Seasoned Structured Note Lawyers Help?

A structured note is a debt obligation that comes with a derivative component. Generally underwritten by a Wall Street bank, how well it does is usually tied to an underlying asset. A lot of structured notes don’t come with principal protection and a total loss of principal is possible in the wake of huge market volatility. Brokers can earn high commissions from selling these alternative investments.

Our savvy structured product attorneys have represented investors against broker-dealers over the most complex kinds of loss claims. If we decide to work together, Shepherd Smith Edwards and Kantas has the skills, resources, and experience to maximize your chances for a full recovery.

Over the decades, we have helped thousands of investors to collectively recoup many millions of dollars in awards and settlements from liable broker-dealers and investment advisers.

Book Your Appointment With Shepherd Smith Edwards and Kantas Structured Note Lawyers Today 

Proving broker-dealer negligence can be very difficult, which is why it is important that you hire knowledgeable securities lawyers. Call our team of Structured Note Lawyers today at (800) 259-9010 to schedule your free case consultation. You also can reach out to us online.

**Your initial case assessment is free. You will only pay for our legal services if we obtain financial recovery for you, which is where the fees would come out of and not directly from your own pocket.