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 |
|---|---|---|---|---|---|---|---|---|
| Chuck A Roberts | 2064602 | 22 | 05/03/2023 | Customer Dispute | Pending | $5,000,000.00 | $0.00 | See FINRA Report |
| Debra Lynn Costanzo Cline | 1571374 | 2 | 01/02/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Chuck A Roberts | 2064602 | 22 | 10/24/2022 | Customer Dispute | Pending | $5,000,000.00 | $0.00 | See FINRA Report |
| Paul Kim | 4219593 | 3 | 08/19/2022 | Customer Dispute | Pending | $1,450,000.00 | $0.00 | See FINRA Report |
| Becky Marie Loggins | 1885915 | 1 | 03/31/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| John Michael Arthur | 703729 | 3 | 06/29/2010 | Customer Dispute | Pending | $375,000.00 | $0.00 | See FINRA Report |
| John Michael Arthur | 703729 | 3 | 04/08/2010 | Customer Dispute | Pending | $550,000.00 | $0.00 | See FINRA Report |
| John Mark Holliday | 2773162 | 2 | 04/15/2009 | Customer Dispute | Pending | $750,000.00 | $0.00 | See FINRA Report |
| John Michael Arthur | 703729 | 3 | 02/25/2009 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Robert George Rix | 3089093 | 1 | 03/05/2003 | Customer Dispute | Pending | $11,500.00 | $0.00 | See FINRA Report |