Articles Tagged with Chuck Roberts

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chuck Roberts (Roberts), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Roberts recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,000,000.00 on January 16, 2025.

Claimants alleges violations of Section 10(b) of the Securities Exchange Act, violation of Regulation Best Interest, and breach of fiduciary duty.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chuck Roberts (Roberts), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least 18 disclosable events. These events include 18 customer complaints, alleging that Roberts recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,000,000.00 on December 05, 2024.

Claimant alleges breach of fiduciary duty, negligence, fraud, breach of contract, and violation of sections 10(b) and 20(a) of the securities exchange act and rule 10b-5.