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 |
|---|---|---|---|---|---|---|---|---|
| Dale Franklin Johnson | 1027344 | 1 | 10/03/2019 | Customer Dispute | Award / Judgment | $0.00 | $167,833.00 | See FINRA Report |
| John Raymond Lisowski | 1011572 | 2 | 09/17/2018 | Customer Dispute | Award / Judgment | $390,000.00 | $500,000.00 | See FINRA Report |
| Martin Allen Stevens | 1804469 | 7 | 08/28/2017 | Customer Dispute | Award / Judgment | $34,719.00 | $13,500.00 | See FINRA Report |
| Marc Yukio Kozuki | 5185147 | 1 | 06/10/2016 | Customer Dispute | Award / Judgment | $100,000.00 | $0.00 | See FINRA Report |
| Francine Louise Foerst | 1958697 | 2 | 06/08/2016 | Customer Dispute | Award / Judgment | $32,950.30 | $0.00 | See FINRA Report |
| Robert Kyle Ratcliff | 1888152 | 1 | 01/08/2016 | Customer Dispute | Award / Judgment | $75,000.00 | $117,477.00 | See FINRA Report |
| Raymond Brian Patraw | 4962879 | 1 | 03/27/2014 | Customer Dispute | Award / Judgment | $24,000.00 | $441.14 | See FINRA Report |
| Patricia Jeannine Tippins | 2283279 | 3 | 08/23/2013 | Customer Dispute | Award / Judgment | $79,796.60 | $0.00 | See FINRA Report |
| Chuck A Roberts | 2064602 | 5 | 09/20/2010 | Customer Dispute | Award / Judgment | $313,250.00 | $202,228.00 | See FINRA Report |
| Scott David Steinke | 1052157 | 2 | 02/22/2010 | Customer Dispute | Award / Judgment | $1,000,000.00 | $175,254.00 | See FINRA Report |