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 |
|---|---|---|---|---|---|---|---|---|
| Marc Robert Pines | 1025903 | 1 | 11/12/2020 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Scott S Webb | 4227092 | 2 | 10/06/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brett Brian Faulk | 2130056 | 2 | 10/01/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Owen Barry | 2690041 | 1 | 09/04/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Randall Kent Minas | 821449 | 6 | 09/04/2020 | Customer Dispute | Dismissed | $500,000.00 | $0.00 | See FINRA Report |
| Adam J Wetli | 6201087 | 1 | 07/13/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Christopher Manion Brennan | 4120361 | 1 | 05/27/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Andrew J Bransky | 2680736 | 2 | 04/22/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Asaf Glaich | 3241626 | 1 | 04/13/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Samuel John Fahsholtz | 6534888 | 3 | 03/27/2020 | Customer Dispute | Settled | $90,000.00 | $0.00 | See FINRA Report |