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 |
|---|---|---|---|---|---|---|---|---|
| Mark James Stevenson | 436079 | 9 | 11/21/1989 | Customer Dispute | Award / Judgment | $82,720.00 | $559,327.00 | See FINRA Report |
| Stephen Everette Shogren | 501407 | 1 | 10/27/1989 | Customer Dispute | Award / Judgment | $29,948.70 | $15,614.00 | See FINRA Report |
| Terry Euell Morrison | 1070036 | 1 | 09/29/1989 | Customer Dispute | Award / Judgment | $73,600.70 | $15,459.40 | See FINRA Report |
| Daniel William Carnevale | 41099 | 4 | 08/22/1989 | Customer Dispute | Award / Judgment | $115,000.00 | $40,000.00 | See FINRA Report |
| Joellen Wheeler | 702996 | 1 | 06/06/1989 | Customer Dispute | Award / Judgment | $272,854.00 | $96,000.00 | See FINRA Report |
| Lynn Cooper Faust | 729012 | 6 | 03/30/1989 | Customer Dispute | Award / Judgment | $24,038.30 | $8,000.00 | See FINRA Report |
| Roger Lowell Wilkie | 467135 | 8 | 11/04/1988 | Customer Dispute | Award / Judgment | $423,545.00 | $25,000.00 | See FINRA Report |
| Robert Thomas Friedmann | 820927 | 1 | 05/02/1988 | Customer Dispute | Award / Judgment | $0.00 | $20,000.00 | See FINRA Report |
| Lynn Cooper Faust | 729012 | 6 | 04/21/1988 | Customer Dispute | Award / Judgment | $17,000.00 | $2,300.00 | See FINRA Report |
| James Anthony Strainer | 437914 | 4 | 03/01/1988 | Customer Dispute | Award / Judgment | $140,000.00 | $46,750.00 | See FINRA Report |