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 |
|---|---|---|---|---|---|---|---|---|
| Herbert Charles Buchbinder | 34261 | 5 | 08/15/2023 | Customer Dispute | Pending | $76,000.00 | $0.00 | See FINRA Report |
| Chuck A Roberts | 2064602 | 22 | 08/11/2023 | Customer Dispute | Pending | $500,000.00 | $0.00 | See FINRA Report |
| Chuck A Roberts | 2064602 | 22 | 07/21/2023 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |
| Michael E Newins | 5866331 | 3 | 06/16/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Chuck A Roberts | 2064602 | 22 | 06/09/2023 | Customer Dispute | Pending | $5,000,000.00 | $0.00 | See FINRA Report |
| Chuck A Roberts | 2064602 | 22 | 05/26/2023 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |
| Chuck A Roberts | 2064602 | 22 | 05/24/2023 | Customer Dispute | Pending | $500,000.00 | $0.00 | See FINRA Report |
| Chuck A Roberts | 2064602 | 22 | 05/12/2023 | Customer Dispute | Pending | $5,000,000.00 | $0.00 | See FINRA Report |
| Chuck A Roberts | 2064602 | 22 | 05/10/2023 | Customer Dispute | Pending | $5,000,000.00 | $0.00 | See FINRA Report |
| Chuck A Roberts | 2064602 | 22 | 05/10/2023 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |