Soreide Law Group is currently conducting an investigation into potential claims on behalf of investors who may have suffered losses associated with securities broker Chuck A. Roberts (CRD: 2064602, New York, New York). Roberts is presently registered with Stifel, Nicolaus & Company, Incorporated, where he has been since March 1, 2016, as a securities broker and since April 11, 2019, as a financial advisor. Particularly, Roberts has recently faced multiple FINRA Arbitration claims from investors. These claims involve a range of allegations, notably including breach of fiduciary duty.
Evidently, on August 11, 2023, a Stifel Nicolaus & Company, Incorporated client initiated FINRA Arbitration: 23-02215 concerning Chuck Roberts. The client accused Roberts of breach of fiduciary duty, negligence, and breach of contract. As a result, the client supposedly incurred damages involving equities, stocks, and structured notes. Accordingly, the client is seeking $500,000 to $1,000,000 in compensation from Stifel Nicolaus or Roberts. Presently, this arbitration is pending resolution.
Also, on July 21, 2023, a Stifel Nicolaus & Company, Incorporated client launched FINRA Arbitration: 23-02031 about Chuck Roberts. Specifically, the client contends that Roberts violated the Florida Securities and Investor Protection Act, along with allegations of negligence and breach of contract. Due to these actions, the client allegedly sustained damages on structured notes and stocks. Therefore, the client is requesting damages ranging from $1,000,000 to $5,000,000 from either Stifel Nicolaus or Roberts. Currently, the arbitration is still pending.
Additionally, on May 26, 2023, a client of Stifel Nicolaus & Company, Incorporated filed FINRA Arbitration: 23-01546 concerning Chuck Roberts. The client accuses Roberts of breach of fiduciary duty, negligence, and violation of the California Corporations Code. The client evidently sustained damages on stocks, equities, and structured notes. Therefore, the client seeks compensatory relief ranging from $1,000,000 to $5,000,000 either from Stifel Nicolaus or Roberts. As of now, the arbitration case remains unresolved.
On May 24, 2023, a Stifel Nicolaus & Company, Incorporated client opened FINRA Arbitration: Case 23-01526, targeting Chuck Roberts. The client, notably, alleges that Roberts committed breach of fiduciary duty, negligence, and breach of contract. The client, moreover, claims to have incurred damages on equities and stocks as well as structured notes. Consequently, the client is requesting damages between $500,000 and $1,000,000 from either Stifel Nicolaus or Roberts. Currently, the arbitration case is pending a resolution.
Moreover, on September 20, 2010, a Citigroup Global Markets Inc. client complained about Roberts. Specifically, the client alleged that the financial advisor executed unsuitable and unauthorized trades and made misrepresentations related to investments in the client's accounts. These activities apparently led to damages concerning investments in Ironwood Partners II L.P., Apollo Commercial Real Estate, and Verso Paper Corp. Therefore, a FINRA Arbitration Panel issued Award: 10-04327 on June 18, 2013, ordering the financial advisor to pay the client $185,848 in compensatory damages.
Did you experience losses because of Chuck Roberts? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a potential recovery. Soreide Law Group has recovered money for investors throughout the United States, works on a contingency fee basis, and advances all costs. Roberts and brokerage firms he worked for deny accusations of sales practice violations.
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