Our Staff has compiled our research into a database of FINRA Broker Disclosures for Stifel, Nicolaus & Company, Incorporated. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Steven John Bartos | 2232498 | 1 | 01/17/2023 | Customer Dispute | Pending | $84,000.00 | $0.00 | See FINRA Report |
| Kenneth Carl Ramos | 2553426 | 3 | 01/13/2023 | Customer Dispute | Denied | $389,000.00 | $0.00 | See FINRA Report |
| Chuck A Roberts | 2064602 | 5 | 12/23/2022 | Customer Dispute | Pending | $3,000,000.00 | $0.00 | See FINRA Report |
| Loren Justin Morrison | 4578161 | 6 | 12/02/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Timothy Alan Parkison | 6822267 | 1 | 12/01/2022 | Customer Dispute | Denied | $14,382.10 | $0.00 | See FINRA Report |
| Jason Robert Rudolph | 4659742 | 1 | 11/10/2022 | Customer Dispute | Settled | $20,292.00 | $0.00 | See FINRA Report |
| Chuck A Roberts | 2064602 | 5 | 10/24/2022 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |
| Eric Shawn Richter | 2072599 | 1 | 10/18/2022 | Customer Dispute | Pending | $5,247.52 | $0.00 | See FINRA Report |
| Gerard John Kelly | 1563010 | 1 | 09/14/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Michael James Kazacos | 2823410 | 2 | 08/31/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |