Chuck Roberts and Stifel Nicolaus & Co. Inc.


July 28, 2023

Type of alert:

Breach of Fiduciary Duty  

Chuck Roberts, who works for Stifel Nicolaus & Co. Inc., is facing multiple investor complaints related to the sale of structured notes. These notes’ performance is typically tied to an underlying asset, such as a specific stock or stock index like the S&P 500. Roberts, a 33-year industry veteran, is facing eight investor claims totaling $23.5 million in damages, with allegations including breach of fiduciary duty, negligence, fraud, and breach of contract. Some of the complaints were filed in May, one in June, and one in October of the previous year.

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