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 |
|---|---|---|---|---|---|---|---|---|
| Samuel John Fahsholtz | 6534888 | 3 | 02/20/2020 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Robert Lynn Mitchell | 1523211 | 5 | 02/20/2020 | Customer Dispute | Settled | $180,000.00 | $0.00 | See FINRA Report |
| Mark Fallon Kregor | 2403684 | 11 | 02/07/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph John Mamer | 1368291 | 3 | 12/19/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Allan Krogh | 275717 | 4 | 12/19/2019 | Customer Dispute | Settled | $37,848.00 | $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 |
| Dale Franklin Johnson | 1027344 | 1 | 10/03/2019 | Customer Dispute | Award / Judgment | $0.00 | $167,833.00 | See FINRA Report |
| David M Anderson | 3128716 | 1 | 07/21/2019 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| Jeffrey Scott Luedke | 873796 | 4 | 06/25/2019 | Customer Dispute | Denied | $31,723.00 | $0.00 | See FINRA Report |
| Jonathan Craig Cherkas | 2489595 | 3 | 06/11/2019 | Customer Dispute | Settled | $27,535.00 | $0.00 | See FINRA Report |