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Chuck Roberts Of Stifel, Nicolaus & Company, Incorporated, Has 16 Customer Complaints For Alleged Broker Misconduct

Who is Chuck Roberts of Stifel, Nicolaus & Company, Incorporated?

Chuck Roberts

Chuck Roberts (CRD #2064602) who is currently registered as a broker and investment adviser with Stifel, Nicolaus & Company, Incorporated and located in New York, New York, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Stifel, Nicolaus & Company, Incorporated, Chuck Roberts was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Chuck Roberts Customer Complaints

Chuck Roberts has been the subject of 16 customer complaints that we know about seeking to recover investment losses. One customer complaint evolved into a FINRA arbitration proceeding an arbitration award in favor of the investor. Stiefel Nicholas & Co. recently denied two other customer complaints and so far, the investors have not taken any further action. Currently 13 FINRA arbitration proceedings are pending against Stiefel Nicholas & Co. for Chuck Roberts’ alleged misconduct.

Allegations Against Philip Riposo

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Breach of fiduciary duty, negligence, fraud, breach of contract, violation of New Jersey uniform securities laws and violation of the Florida Securities and Investor Protection Act.
  • Violations of California corporations code, violation of section 10 (B) of the Securities Exchange Act of 1934, violation of Regulation Best Interest, and breach of fiduciary duty.
  • Violation of the New Jersey uniform securities laws related to structure note investments.
  • Breach of fiduciary duty, negligence, fraud, and breach of contract related to structured note investments.
  • Negligence, negligent misrepresentation, and breach of fiduciary duty in connection with an outside investment in a hedge fund.

Chuck Roberts Red Flags & Your Rights As An Investor

Of course, Chuck Roberts did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Chuck Roberts at Stifel, Nicolaus & Company, Incorporated on alert to review carefully the activity and performance of their accounts and question whether Chuck Roberts has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stifel, Nicolaus & Company, Incorporated, also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

Did You Lose Money Because of Broker Misconduct?

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If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At Stifel, Nicolaus & Company, Incorporated Due To Chuck Roberts

 If you have questions about Stifel, Nicolaus & Company, Incorporated and/or Chuck Roberts and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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