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 |
|---|---|---|---|---|---|---|---|---|
| James Sean Lebaron | 2308025 | 2 | 04/17/2019 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Samuel John Fahsholtz | 6534888 | 3 | 04/01/2019 | Customer Dispute | Settled | $50,100.00 | $0.00 | See FINRA Report |
| Lynn Cooper Faust | 729012 | 6 | 01/17/2019 | Customer Dispute | Settled | $81,895.10 | $0.00 | See FINRA Report |
| Lynn Cooper Faust | 729012 | 6 | 11/16/2018 | Customer Dispute | Settled | $59,000.00 | $0.00 | See FINRA Report |
| Mark Fallon Kregor | 2403684 | 11 | 10/25/2018 | Customer Dispute | Settled | $595,000.00 | $0.00 | See FINRA Report |
| William Johnston Darby | 1659917 | 4 | 10/04/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Fallon Kregor | 2403684 | 11 | 09/10/2018 | Customer Dispute | Settled | $179,791.00 | $0.00 | See FINRA Report |
| Steven Lewis Sellman | 1611870 | 2 | 08/17/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Johnny Gin Yang Ng | 4044141 | 1 | 08/15/2018 | Customer Dispute | Settled | $15,562.00 | $0.00 | See FINRA Report |
| Adam Saul Frankfort | 1293630 | 2 | 08/10/2018 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |