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 |
|---|---|---|---|---|---|---|---|---|
| Danny Lee Stockton | 1944847 | 2 | 10/13/1999 | Customer Dispute | Closed-No Action | $7,250.00 | $0.00 | See FINRA Report |
| Robert David Traitz | 1158088 | 5 | 08/05/1999 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Marc B Karp | 873902 | 1 | 01/18/1999 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Stewart Sutton | 2392032 | 2 | 05/25/1998 | Customer Dispute | Closed-No Action | $21,000.00 | $0.00 | See FINRA Report |
| Andrew Kaye Klinger | 1974398 | 6 | 04/22/1998 | Customer Dispute | Closed-No Action | $16,940.80 | $0.00 | See FINRA Report |
| Philip Dewitt Estabrook | 812722 | 1 | 03/26/1998 | Customer Dispute | Closed-No Action | $83,680.20 | $0.00 | See FINRA Report |
| James Alan Crenna | 809238 | 2 | 09/10/1997 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |