Articles Tagged with Structured Product Fraud Attorneys

Stifel, Nicolaus & Co. Ordered To Pay Investors $2.35M Over Structured Note Losses

This Latest FINRA Arbitration Award Again Involved Broker Chuck Roberts

Once again, a Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered Stifel, Nicolaus, & Co. to pay investors who sustained structured product losses—callable structured notes, in particular— while working with financial advisor Chuck Roberts. This time the award is for $2.35M. The award itself is for almost $1.9M while the remainder is for legal fees. In his investor lawsuit, the claimant alleged negligence, negligent supervision, fraud, and more.