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 | 10/24/2023 | Customer Dispute | Denied | $150,000.00 | $0.00 | See FINRA Report |
| Chuck A Roberts | 2064602 | 22 | 10/19/2023 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |
| Chuck A Roberts | 2064602 | 22 | 10/19/2023 | Customer Dispute | Pending | $5,000,000.00 | $0.00 | See FINRA Report |
| Roman Meyerhans | 4587943 | 3 | 10/17/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Ward Silverman | 1915352 | 2 | 10/11/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Chuck A Roberts | 2064602 | 22 | 10/11/2023 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |
| Richard David Stone | 4219856 | 1 | 10/11/2023 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |
| Michael Levering Buckley | 5629583 | 1 | 10/03/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kenneth Carl Ramos | 2553426 | 3 | 10/02/2023 | Customer Dispute | Pending | $1,300,000.00 | $0.00 | See FINRA Report |
| Mary J Swanson | 1424448 | 1 | 08/15/2023 | Customer Dispute | Pending | $76,000.00 | $0.00 | See FINRA Report |