Investors complained about securities broker Chuck A. Roberts [CRD: 2064602, Miami Beach, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Chuck Roberts has worked for Stifel Nicolaus Company Inc. since March 1, 2016, as both a financial advisor and securities broker. Below, investors can find a summary about Roberts’ disclosures and the allegations raised by investors.
Specifically, on February 29, 2024, a Stifel Nicolaus Company Incorporated client filed FINRA Arbitration No. 24-00460 about Chuck Roberts. Notably, the client alleged breach of fiduciary duty, breach of contract, negligence, and violation of the Florida Securities and Investor Protection Act. Because of this, the investor supposedly sustained damages on stocks and structured notes. Consequently, they requested $100,000 in compensation from Stifel Nicolaus Company Incorporated or Roberts. Evidently, this arbitration is pending a resolution.
Particularly, a client of Stifel Nicolaus Company Incorporated contested Chuck Roberts’ sales practices by filing FINRA Arbitration No. 23-03530 on December 14, 2023. Notably, the investor alleged breach of fiduciary duty, negligence, breach of contract, and violation of Florida securities laws. Allegedly, Roberts caused the client to sustain damages on structured notes. As a result, they seek damages from Stifel Nicolaus Company Incorporated or Roberts.
Also, on November 14, 2023, a Stifel Nicolaus Company Incorporated client filed FINRA Arbitration No. 23-03283 about Chuck Roberts. The client alleged breach of fiduciary duty and negligence. Due to these allegations, the client purportedly sustained damages related to structured notes. Therefore, they requested between $100,000 and $500,000 in compensation from Stifel Nicolaus Company Incorporated or Roberts. Evidently, this arbitration is pending a resolution.
Specifically, a client of Stifel Nicolaus Company Incorporated contested Chuck Roberts’ sales practices, according to a complaint dated October 24, 2023. Notably, the investor alleged omissions and unauthorized trading. Allegedly, Roberts allegedly caused the client to sustain damages on stocks, mutual funds, and structured notes. Consequently, they sought damages from Stifel Nicolaus Company Incorporated or Roberts in the amount of $150,000 in this matter. However, this complaint was denied on November 10, 2023.
Additionally, on October 19, 2023, a Stifel Nicolaus Company Inc. client filed FINRA Arbitration: 23-03052 about Chuck Roberts. Mainly, the client alleged violations of the California Corporations Code, violation of federal securities laws, and breach of fiduciary duty. Because of this, the investor supposedly sustained damages on structured notes and alternative investments. As a result, they requested $1,000,000 in compensation from Stifel Nicolaus Company Inc. or Roberts. Evidently, this arbitration is pending a resolution.
Particularly, a client of Stifel Nicolaus Company Inc. contested Chuck Roberts' sales practices by filing FINRA Arbitration: 23-02215 on August 11, 2023. Notably, the investor alleged breach of fiduciary duty, negligent conduct, and breach of contract. Allegedly, Roberts caused the client to sustain damages on listed equity stocks and structured notes. Therefore, they seek damages from Stifel Nicolaus Company Inc. or Roberts in the amount of $500,000 to $1,000,000 in this ongoing matter.
Did you suffer financially because of Chuck Roberts? If so, contact Soreide Law Group online or at (888) 760-6552 and speak to a securities lawyer about a potential recovery of your investment losses. Soreide Law Group investment loss recovery lawyers help individuals throughout the United States, work on a contingency fee basis, and advance all costs. Roberts and brokerage firms Roberts worked for deny accusations of sales practice violations.
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