The firm is filing FINRA arbitration claims against broker-dealers like Stifel and Osaic, alleging they unsuitably recommended the high-risk fund while misrepresenting it as a safe municipal investment.

A federal magistrate judge has recommended upholding a historic $133 million FINRA arbitration award against Stifel Financial, rejecting the firm’s attempt to vacate the ruling related to former broker Chuck Roberts.

Already, Shepherd Smith Edwards and Kantas ( investorlawyers.com ) has filed a number of Easterly Fund loss claims against Stifel, Nicolaus & Co., as well as Osaic Wealth and other brokerage firms. At one point, holding around $300M in assets ...

The Shepherd Smith Edwards and Kantas FINRA Arbitration Law Firm Is Investigating Former Stifel Broker Jonathan Webster If you sustained serious losses from costly brokerage trades made by ex-Stifel, Nicolaus, & Co. financial advisor Jonathan Mark Webster , contact Shepherd ...

Already, we have filed investment loss recovery claims in FINRA arbitration against Stifel, Nicolaus & Co, Osaic Wealth, and other firms. Continue Reading ›

Shepherd Smith Edwards and Kantas Easterly ROCMuni Fund Attorneys Continue to Investigate Stifel, Osaic Wealth, and Other Broker-Dealers Over Investment Losses Over the last few months, our Easterly ROCMuni High Income Fund recovery attorneys have been filing six- and seven-figure ...

We are representing Easterly ROCMuni Fund investors against broker-dealers, including Stifel, Nicolaus & Co., Osaic Wealth, and other firms. The Easterly Fund had been losing money for almost a year when a fire sale in June 2025 caused it to ...

Couple Is Alleging Unsuitability and Breach of Fiduciary Duty in Their FINRA Lawsuit Against The Broker-Dealer Shepherd Smith Edwards and Kantas ROCMuni Fraud Recovery Attorneys ( investorlawyers.com ) are representing two more Claimants from Paducah, Kentucky, who suffered serious portfolio ...

Brokerage Firm Stifel, Nicolaus & Co. Has To Pay More Than $140M To Clients Shepherd Smith Edwards and Kantas Alternative Investment Loss Attorneys ( investorlawyers.com ) are continuing to investigate claims of losses involving former customers of ex- Stifel, Nicolaus ...

Western Kentucky Investor Sues Stifel, Nicolaus & Co. Over Easterly ROCMuni High Income Fund Losses.