Structured Notes and Products

Stifel Financial

Chuck Roberts Stifel Financial: FINRA Bars Broker in $200M+ Structured Notes Scandal

The Financial Industry Regulatory Authority (FINRA) has permanently barred Chuck Roberts, a former star broker at Stifel Financial, following his central role in a structured notes scandal that has cost the firm and its clients hundreds of millions of dollars. The Chuck Roberts Stifel Financial case serves as a critical reminder of the risks associated […]

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The Hidden Risks of Structured Notes: Warning Signs Your Financial Advisor Should Have Disclosed

Structured notes blend bonds and derivatives, creating complex financial products. These investments promise high returns but carry hidden risks. Many investors don’t know about the dangers lurking beneath the surface. Credit, market, liquidity, and complexity risks threaten your money. Even Principal Protected Notes can lead to total loss if the issuer goes bankrupt. In 2021,

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Stifel Ordered To Pay $2.4 Million Over Miami Broker’s Structured Note Strategy

Stifel Financial faces a $14.3 million penalty for failing to watch over Chuck A. Roberts. This case is one of 16 complaints against Roberts, with investors seeking $41.2 million in total damages. Louis and Elizabeth Deluca, two investors, sued Stifel. They claim the firm broke trust, lied, and broke Florida’s investor protection laws. Roberts has

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Credit Suisse Structured Notes: Understanding the Associated Risks and Complaints

Credit Suisse structured notes are complex financial products that combine debt with derivatives. Tracking assets such as stocks, commodities, and currencies offers the possibility of higher returns but at significant risk. Consequently, investors need to understand these risks before investing. The 2008 Lehman Brothers collapse amply demonstrated how credit risk can hurt noteholders, and many

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