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FINRA Broker Disclosures for Stifel, Nicolaus & Company, Incorporated

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.

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Displaying 11-20 out of 45 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Loren Justin Morrison45781611003/21/2024Customer DisputePending$305,680.00$0.00See FINRA Report
Chuck A Roberts20646022202/29/2024Customer DisputePending$100,000.00$0.00See FINRA Report
Chuck A Roberts20646022212/14/2023Customer DisputePending$5,000,000.00$0.00See FINRA Report
Chuck A Roberts20646022211/14/2023Customer DisputePending$100,000.00$0.00See FINRA Report
Chuck A Roberts20646022210/19/2023Customer DisputePending$1,000,000.00$0.00See FINRA Report
Chuck A Roberts20646022210/19/2023Customer DisputePending$5,000,000.00$0.00See FINRA Report
Chuck A Roberts20646022210/11/2023Customer DisputePending$1,000,000.00$0.00See FINRA Report
Richard David Stone4219856110/11/2023Customer DisputePending$1,000,000.00$0.00See FINRA Report
Kenneth Carl Ramos2553426310/02/2023Customer DisputePending$1,300,000.00$0.00See FINRA Report
Mary J Swanson1424448108/15/2023Customer DisputePending$76,000.00$0.00See FINRA Report

45 Results

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