The St. Louis-based Stifel has paid millions of dollars in damages to former clients of Roberts over the past year.

Stifel has paid nearly $182 million in arbitration awards and settlements stemming from the sales of structured notes by a ...

Julia Kagan is a financial/consumer journalist and former senior editor, personal finance, of Investopedia. David Kindness is a Certified Public Accountant (CPA) and an expert in the fields of ...

Some red flags are worse than others. This free online tool gives you information you need. It's easy to do your due diligence before hiring a financial adviser: You can use BrokerCheck to see if the ...

It’s easy to do your due diligence before hiring a financial adviser: You can use BrokerCheck to see if the adviser has any disciplinary black marks. Finra, the private, not-for-profit organization ...

BrokerCheck provides detailed backgrounds on financial advisors and their firms. It includes advisors' registration, employment history, and any disciplinary actions. Using BrokerCheck does not alert ...

A continuing education cheating scheme has landed at least 63 brokers suspensions and fines from the Financial Industry Regulatory Authority. Four brokers have been barred from the industry for ...

As part of your due diligence, conduct a thorough background check before choosing a financial advisor to manage your investments, retirement or estate planning. After all, you don't want to hand over ...

FINRA has quietly and quickly won approval for a rule that lets brokers keep their private addresses off the online BrokerCheck database with a simple check of a box. Processing Content With the lapse ...

Capital gains are the profits from the sale of assets. They can be subject to short-term or long-term tax rates. Many, or all, of the products featured on this page are from our advertising partners ...

After having been open since 1947, the year Jackie Robinson first played for the Brooklyn Dodgers, National Securities Corp. told Finra on Monday it was shutting down. According to the firm's ...

FINRA recently issued an investor alert on fraudsters impersonating FINRA executives, offering bogus investment "guarantees" to investors as part of an advance-fee scam. But regulators are not the ...