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 |
|---|---|---|---|---|---|---|---|---|
| Steven John Bartos | 2232498 | 1 | 01/17/2023 | Customer Dispute | Pending | $84,000.00 | $0.00 | See FINRA Report |
| Chuck A Roberts | 2064602 | 5 | 12/23/2022 | Customer Dispute | Pending | $3,000,000.00 | $0.00 | See FINRA Report |
| Loren Justin Morrison | 4578161 | 6 | 12/02/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Chuck A Roberts | 2064602 | 5 | 10/24/2022 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |
| Eric Shawn Richter | 2072599 | 1 | 10/18/2022 | Customer Dispute | Pending | $5,247.52 | $0.00 | See FINRA Report |
| Gerard John Kelly | 1563010 | 1 | 09/14/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Loren Justin Morrison | 4578161 | 6 | 08/19/2022 | Customer Dispute | Pending | $1,843,120.00 | $0.00 | See FINRA Report |
| Paul Kim | 4219593 | 3 | 08/19/2022 | Customer Dispute | Pending | $1,450,000.00 | $0.00 | See FINRA Report |
| James Lebaron Springer | 2535792 | 5 | 08/11/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| William S Humber | 5764524 | 1 | 06/17/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |