Newsroom category: Securities News

Chuck A. Roberts Disbarred from Securities Industry After Mounting Customer Complaints

July 25, 2025

Former Stifel, Nicolaus & Company investment advisor Chuck A. Roberts (CRD#: 2064602) has been officially barred from the securities industry, following a string of customer complaints and regulatory scrutiny over his sales practices—particularly regarding structured notes. Regulatory and Bar Status Roberts entered into a Letter of Acceptance, Waiver, and Consent with FINRA in July 2025. He initially […]

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If Ray Weldon Was Your Advisor, You Might Have a Serious Problem

July 8, 2025

If Charles Raymond Weldon — known professionally as Ray Weldon — was or is your financial advisor, take a closer look at your investment portfolio. Levin Papantonio, a nationally recognized law firm, is investigating potential claims on behalf of investors who say they were harmed by Weldon’s advice while he was registered with Cetera Advisor […]

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