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 |
|---|---|---|---|---|---|---|---|---|
| Michael Ward Silverman | 1915352 | 2 | 10/11/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Kyle Rockford | 2454607 | 1 | 05/26/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert William Voorhees | 4505028 | 3 | 05/19/2023 | Customer Dispute | Denied | $24,000.00 | $0.00 | See FINRA Report |
| Craig Louis Skelly | 1099710 | 1 | 04/29/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Chuck A Roberts | 2064602 | 22 | 04/11/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Andrew Steven Goldwater | 866798 | 3 | 03/21/2023 | Customer Dispute | Denied | $178,376.00 | $0.00 | See FINRA Report |
| Adam Vartan Topalian | 1104727 | 1 | 03/13/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Steven John Bartos | 2232498 | 1 | 01/17/2023 | Customer Dispute | Denied | $84,000.00 | $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 James Stevenson | 436079 | 9 | 05/16/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |