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 |
|---|---|---|---|---|---|---|---|---|
| Jason Robert Rudolph | 4659742 | 1 | 11/10/2022 | Customer Dispute | Settled | $20,292.00 | $0.00 | See FINRA Report |
| William Robert Mielke | 1219765 | 6 | 01/27/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Allan Krogh | 275717 | 4 | 10/14/2021 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Galen Lynn Foster | 1394526 | 1 | 07/20/2021 | Customer Dispute | Settled | $111,006.00 | $0.00 | See FINRA Report |
| Sean Edward Andrew Westbrook | 5090374 | 2 | 07/01/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Jeffrey Rettman | 7038549 | 1 | 05/10/2021 | Customer Dispute | Settled | $30,106.00 | $0.00 | See FINRA Report |
| Sean Edward Andrew Westbrook | 5090374 | 2 | 04/19/2021 | Customer Dispute | Settled | $101,000.00 | $0.00 | See FINRA Report |
| Erik McLean Melville | 4621825 | 1 | 03/04/2021 | Customer Dispute | Settled | $15,919.00 | $0.00 | See FINRA Report |
| Geoffrey Brown | 1963751 | 1 | 01/12/2021 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Robert Pierre Holland | 1962105 | 1 | 11/27/2020 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |