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 |
|---|---|---|---|---|---|---|---|---|
| Rahn Stuart Lund | 1462843 | 3 | 02/21/2023 | Customer Dispute | Closed-No Action | $319,000.00 | $0.00 | See FINRA Report |
| Eric Shawn Richter | 2072599 | 2 | 10/18/2022 | Customer Dispute | Closed-No Action | $5,247.52 | $0.00 | See FINRA Report |
| Joseph Edward Ringhoffer | 1402957 | 2 | 12/14/2020 | Customer Dispute | Closed-No Action | $54,000.00 | $0.00 | See FINRA Report |
| Michael John-Hubbard Thompson | 1785241 | 1 | 10/24/2019 | Customer Dispute | Closed-No Action | $15,000.00 | $0.00 | See FINRA Report |
| Randall Lee Otto | 2944154 | 1 | 12/15/2017 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Barry Clarence Bruner | 1565469 | 2 | 11/17/2014 | Customer Dispute | Closed-No Action | $10,728.00 | $0.00 | See FINRA Report |
| Andrew Scott Harvey | 4482129 | 1 | 07/17/2014 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Wayne Spencer Frank | 3111263 | 1 | 12/11/2013 | Customer Dispute | Closed-No Action | $75,000.00 | $0.00 | See FINRA Report |
| Eric P Conover | 3001098 | 1 | 08/18/2013 | Customer Dispute | Closed-No Action | $7,000.00 | $0.00 | See FINRA Report |
| Joseph Adam Hanna | 1667471 | 2 | 04/23/2013 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |