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 |
|---|---|---|---|---|---|---|---|---|
| Loren Justin Morrison | 4578161 | 10 | 12/02/2022 | Customer Dispute | Settled | $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 | 22 | 10/24/2022 | Customer Dispute | Pending | $5,000,000.00 | $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 |
| Paul Kim | 4219593 | 3 | 08/19/2022 | Customer Dispute | Pending | $1,450,000.00 | $0.00 | See FINRA Report |
| Loren Justin Morrison | 4578161 | 10 | 06/14/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark James Stevenson | 436079 | 9 | 05/16/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Franklin Bernard | 2550802 | 5 | 05/16/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Robert Mielke | 1219765 | 6 | 01/27/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |