Chuck Roberts of Stifel Nicolaus & Company Subject of Multiple Complaints of Sales of Structured Notes

NEW YORK, NY

Are you a client of investment advisor, Chuck Roberts, with Stifel Nicolaus & Company in New York, New York?  Several customers have filed complaints against the brokerage firm, alleging that Chuck Roberts made unsuitable recommendations to invest in structured notes.  He has been the subject of ten customer complaints through his career, nine of which have been made within the last year.  Most of these recent complaints make allegations about structured notes, and at least one customer complained about a hedge fund.

Chuck A. Roberts has worked with Stifel Nicolaus & Company in New York City since March 2016.  He has been in the securities industry since 1990.

Licensed stockbrokers are required to follow FINRA Rule 2111, which ensures that brokers made suitable recommendations to investors based on factors like age, risk tolerance, investment objectives, and others.  Additionally, brokerage firms usually perform adequate due diligence on a product so that their brokers can adequately advise clients as to these investments.

Our firm has represented numerous investors against Stifel Nicolaus & Company in the past.  We also represent investors throughout the country, including those in New York.

View Roberts, c BrokerCheck 7.12.23

If you lost money with Chuck Roberts or Stifel Nicolaus & Company, please Contact Us at 206-795-5798 for a free evaluation of your case.