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 |
|---|---|---|---|---|---|---|---|---|
| Kenneth Carl Ramos | 2553426 | 3 | 01/13/2023 | Customer Dispute | Denied | $389,000.00 | $0.00 | See FINRA Report |
| Timothy Alan Parkison | 6822267 | 1 | 12/01/2022 | Customer Dispute | Denied | $14,382.10 | $0.00 | See FINRA Report |
| Mark D Permenter | 1571527 | 2 | 07/06/2022 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| James Franklin Bernard | 2550802 | 5 | 05/16/2022 | Customer Dispute | Denied | $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 |
| Harrold Bachmann Ribich | 1590089 | 2 | 03/01/2021 | Customer Dispute | Denied | $532,748.00 | $0.00 | See FINRA Report |
| 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 |
| Adam J Wetli | 6201087 | 1 | 07/13/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |