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Stephens

Ritchie Roberts-Former Stephens Broker-Subject of Gambling Investigation/Barred From Securities Industry-Rogers, Arkansas

Ritchie Roberts-Former Stephens Broker-Subject of Gambling Investigation/Barred From Securities Industry-Rogers, Arkansas 150 150 Rex Securities Law

March 2018- Rogers, Arkansas The FINRA records of  Norris Richard (“Richie”) Roberts, Jr.  ,  a  former stockbroker who was last employed by  Stephens Inc. disclose a recent regulatory matter resulting in a permanent bar from…

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Stephens Inc. Sanctioned by Securities Regulators for Mutual Fund Sales Charge Abuse

Stephens Inc. Sanctioned by Securities Regulators for Mutual Fund Sales Charge Abuse 150 150 Rex Securities Law

October 27, 2015 Stephens, Inc.  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that since June 1, 2009, Stephens disadvantaged certain…

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