STIFEL HIT WITH MORE SETTLEMENTS OVER STRUCTURED NOTES, ADDING PRESSURE TO SELL TO LARGER RIVAL, SOURCES SAY
https://media.zenfs.com/en/wealth_management_474/2f004bf883d186c33fe6eae68df872e6
✍️ Stifel Financial has paid nearly $3.4 million to settle arbitration claims related to a former broker's sales of structured notes, and is considering a potential sale to Raymond James.
👉 Stifel Financial has paid nearly $3.4 million to settle arbitration claims related to a former broker's sales of structured notes 👉 The broker, Chuck Roberts, was barred from the industry in July for selling unsuitable investments to clients 👉 Stifel has sold its independent advisor channel to Equitable 👉 The company is considering a potential sale to Raymond James
-- #ChuckRoberts #RonKruszewski #JeffreyErez #business
Loading quoted post…
