As publicly reported, pending complaints against Roberts relate to his recommendations of structured notes and other similar products while at Stifel Nicolaus. The details of the complaints are:
- FINRA Arbitration No. 24-00460 (filed February 28, 2024): Customers allege damages of $100,000 to $500,000 related to Roberts’ recommendations of structured note products claiming negligence, breach of fiduciary duty, fraud, breach of contract, and violation of Florida securities laws while Roberts was associated with Stifel Nicolaus
- FINRA Arbitration No. 23-03530 (filed December 14, 2023): Customer alleges more than $5,000,000.00 in damages based upon alleged negligence, breach of fiduciary duty, fraud, breach of contract, and violation of Florida securities laws in connection with the sale of structured notes when Roberts was associated with Stifel Nicolaus
- FINRA Arbitration No. 23-03283 (filed November 14, 2023): Customers allege damages between $100,000 to $500,000 for their claims of common law fraud, breach of fiduciary duty and negligence arising from the sale of structured note products by Roberts at Stifel Nicolaus.
- FINRA Arbitration No. 23-03076 (filed October 19, 2023): Roberts’ clients allege damages in excess of $5 Million based on their claims of breach of fiduciary duty, negligence, fraud, breach of contract, violation of the New Jersey uniform securities law and violation of the Florida securities and investor protection act based on Roberts’ recommendations of structured notes at Stifel Nicolaus
- FINRA Arbitration No. 23-03052 (filed October 16, 2023): Customers of Roberts allege losses of well over $1,000,000 based on claimed violations of California Corporations Code, violation of Section 10(b) of the Securities Exchange Act, violation of Regulation Best Interest, and breach of fiduciary duty, arising from his recommendations of structured notes at Stifel Nicolaus
- FINRA Arbitration No. 23-02814 (filed October 10, 2023): Customers allege damages of $1 Million to $5 Million based on their claims of breach of fiduciary duty, negligence, fraud, breach of contract, violation of the New Jersey uniform securities law and violation of the Florida securities and investor protection act based on Roberts’ recommendations of structured notes at Stifel Nicolaus
- FINRA Arbitration No. 23-02215 (filed August 11, 2023): Customers allege damages between $500,000 to $1,000,000 for their claims of fraud, breach of fiduciary duty, breach of contract and negligence arising from the sale of structured note products by Roberts at Stifel Nicolaus
- FINRA Arbitration No. 23-02031 (filed July 21, 2023): Customers allege damages of $1 Million to $5 Million based on their claims of breach of fiduciary duty, negligence, fraud, breach of contract, and violation of the Florida securities and investor protection act based on Roberts’ recommendations of structured notes at Stifel Nicolaus
- FINRA Arbitration No. 23-01705 (filed June 9, 2023): Roberts’ clients allege damages in excess of $5 Million based on their claims of breach of fiduciary duty, negligence, fraud, breach of contract, and violation of the Florida securities and investor protection act arising from Roberts’ recommendations of structured notes at Stifel Nicolaus
- FINRA Arbitration No. 23-01546 (filed May 26, 2023): Customers of Roberts allege damages of $1,000,000 to $5,000,000 based on claimed violations of California Corporations Code, breach of fiduciary duty, negligence, fraud, breach of contract arising from his recommendations of structured notes at Stifel Nicolaus
- FINRA Arbitration No. 23-01526 (filed May 24, 2023): Customers allege damages of $500,000 to $1,000,000 based on their claims of breach of fiduciary duty, negligence, fraud, breach of contract, and violation of the Florida securities and investor protection act arising from Roberts’ recommendations of structured notes at Stifel Nicolaus
- FINRA Arbitration No. 23-01342 (filed May 11, 2023): Clients of Roberts allege damages in excess of $5 Million based on their claims of breach of fiduciary duty, negligence, fraud, breach of contract, and violation of the Florida securities and investor protection act arising from Roberts’ recommendations of structured notes at Stifel Nicolaus
- FINRA Arbitration No. 23-01288 (filed May 9, 2023): Customers allege damages of $1 Million to $5 Million based on their claims of breach of fiduciary duty, negligence, fraud, breach of contract, and violation of the Florida securities and investor protection act arising from Roberts’ recommendations of structured notes at Stifel Nicolaus
- FINRA Arbitration No. 23-01270 (filed May 8, 2023): Roberts’ customers allege damages in excess of $5 Million based on their claims of breach of fiduciary duty, negligence, fraud, breach of contract, violation of the Florida securities and investor protection act, and violation of ERISA arising from his recommendations of structured notes at Stifel Nicolaus
- FINRA Arbitration No. 23-01185 (filed May 1, 2023): Customers allege damages in excess of $5 Million based on their claims of breach of fiduciary duty, negligence, fraud, breach of contract, violation of the Florida securities and investor protection act concerning Roberts’ recommendations of structured notes at Stifel Nicolaus
- FINRA Arbitration No. 22-02429 (filed October 21, 2022): Customer alleges damages believed to exceed $5 Million based on claims of breach of fiduciary duty, negligence, fraud, breach of contract, and violation of the Florida securities and investor protection act in connection with hedge fund and structured note investments by Roberts at Stifel Nicolaus
Did You Lose Money Investing With Chuck Roberts At Stifel, Nicolaus & Company, Inc.?
Silver Law Group is experienced in representing investors with claims related to structured notes and other misconduct by brokerage firms and financial advisors. If you or someone you know experienced losses with Chuck Roberts and/or Stifel, Nicolaus & Company, Inc., contact Silver Law Group for a confidential consultation toll free at (800) 975-4345 or e-mail ssilver@silverlaw.com.