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 |
|---|---|---|---|---|---|---|---|---|
| Patricia Ann Stark | 2172837 | 3 | 12/15/2021 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Jeffrey Allan Krogh | 275717 | 4 | 10/14/2021 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Galen Lynn Foster | 1394526 | 1 | 07/20/2021 | Customer Dispute | Settled | $111,006.00 | $0.00 | See FINRA Report |
| Sean Edward Andrew Westbrook | 5090374 | 1 | 07/01/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Jeffrey Rettman | 7038549 | 1 | 05/10/2021 | Customer Dispute | Settled | $30,106.00 | $0.00 | See FINRA Report |
| Erik McLean Melville | 4621825 | 1 | 03/04/2021 | Customer Dispute | Settled | $15,919.00 | $0.00 | See FINRA Report |
| Harrold Bachmann Ribich | 1590089 | 2 | 03/01/2021 | Customer Dispute | Denied | $532,748.00 | $0.00 | See FINRA Report |
| Roman Meyerhans | 4587943 | 3 | 01/22/2021 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Jeffrey Allen Anderson | 2027908 | 3 | 01/04/2021 | Customer Dispute | Withdrawn | $230,000.00 | $0.00 | See FINRA Report |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 |