Last Updated: March 2025
- Stifel Ordered to Pay $2.4 Million Over Miami Broker’s Structured Note Strategy – AdvisorHub.com [PDF]
- Stifel to pay second FINRA fine for same broker – Financial-planning.com [PDF]
- Stifel Will Seek to Overturn ‘Windfall’ $14.3 Million Arbitration Award – Barrons.com [PDF]
- Stifel’s star Miami broker in structured note cases misled via text, attorney claims – InvestmentNews.com [PDF]
- Stifel Ordered To Pay $14.3 Million Over Miami Broker’s Structured Note Strategy – InvestmentNews.com [PDF]
- Stifel to fight $14.3M award over broker’s structured note recommendations – Financial-planning.com [PDF]
- Stifel loses big arbitration claim linked to star Miami broker – InvestmentNews.com [PDF]
- Stifel Ordered To Pay Clients $14.2M Over Mishandled Structured Notes – Financial Advisor Magazine [PDF]
- Stifel Broker’s Structured Note Strategy Draws Over $24 Million in Damage Claims – AdvisorHub.com [PDF]
- Stifel Advisor Facing $23.5 Million in Investor Claims Over Structured Notes – InvestmentNews.com [PDF]
- Some Investors Win, Others Lose in YES Arbitration Battles With UBS. Here’s Why. – Barrons.com [PDF]
- UBS to pay punitive damages in $1.3 million arbitration loss over options strategy – InvestmentNews.com [PDF]
- Investors win $975,000 in Finra arbitration involving UBS YES product – InvestmentNews.com [PDF]
- UBS loses another YES arbitration case, one costing more than $1 million – InvestmentNews.com [PDF]
- UBS Ordered to Pay $3.86 Million to ‘YES’ Investors – AdvisorHub.com [PDF]
- UBS Must Pay Clients $3.9M Over YES Options Strategy – ThinkAdvisor.com [PDF]
- UBS Loses another YES Case, Will Have to Pay Nearly $3.9 Million – Barrons.com [PDF]
- Morgan Stanley loses appeal of $3.3 million FINRA arbitration – InvestmentNews.com [PDF]
- Arbitrators Hit Morgan Stanley with $3 Million Sanction for Flouting Rules – AdvisorHub.com [PDF]
- Finra arbitrators order Morgan Stanley to pay $3.3 million for concealing evidence – InvestmentNews.com [PDF]
- Morgan Stanley Pays $3M For Discovery Lapse In FINRA Case – Law360.com [PDF]
- UBS Ordered to Pay $7.8 Million in Puerto Rico Arbitration – AdvisorHub.com [PDF]
- UBS to pay $4.3 million in Puerto Rico bonds claim – InvestmentNews.com [PDF]
- Broken Bonds: The role Wall Street played in wiping out Puerto Rico Savings – CNBC.com [PDF]
- Former Morgan Stanley Broker Sold Unreliable Puerto Rico Bonds – InvestmentNews.com [PDF]
- Morgan Stanley must pay $4.5 million to Banamex: panel – Reuters.com [PDF]
- Morgan Stanley Ordered to Pay $4.5 Million to Mexico-Based Trust – WSJ.com [PDF]
- FINRA panel smacks Morgan Stanley with $4.5M arbitration award – InvestmentNews.com [PDF]
- Citigroup Global — formerly Smith Barney — hit with $3.1M arbitration award – InvestmentNews.com [PDF]
- RBC Ordered to Pay Couple $831,000 Related to Sale of Lehman Stock – WSJ.com [PDF]
- Merrill Owes Couple $1.3M For Fannie Mae Investment – WSJ.com [PDF]
- Miniaci family wins $1M award against Morgan Keegan & Co. – South Miami Business Journal [PDF]
- Morgan Keegan slapped with $1.38 million arbitration award – InvestmentNews.com [PDF]
- Ex-Morgan Stanley broker at center of Puerto Rico bond disputes – InvestmentNews.com [PDF]
- Morgan Stanley Told to Pay Client $850,000 – Sun-Sentinel.com [PDF]
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