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 |
|---|---|---|---|---|---|---|---|---|
| John Francis Lee | 722251 | 3 | 05/01/1987 | Customer Dispute | Award / Judgment | $45,000.00 | $14,112.00 | See FINRA Report |
| Patrick Francis Sinclair | 1007163 | 2 | 09/25/1986 | Customer Dispute | Award / Judgment | $19,045.00 | $5,200.00 | See FINRA Report |
| Neil Hattem | 862803 | 3 | 07/05/1985 | Customer Dispute | Award / Judgment | $100,000.00 | $72,800.00 | See FINRA Report |
| Kenneth Thomas Bruno | 854559 | 6 | 11/13/1984 | Customer Dispute | Award / Judgment | $25,000.00 | $8,350.00 | See FINRA Report |
| Daniel William Carnevale | 41099 | 4 | 11/30/-0001 | Customer Dispute | Award / Judgment | $250,000.00 | $93,000.00 | See FINRA Report |