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 |
|---|---|---|---|---|---|---|---|---|
| Randy Lee Baker | 1763162 | 1 | 03/11/2013 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Angela Marie Jaeger | 2630873 | 1 | 02/04/2013 | Customer Dispute | Closed-No Action | $15,000.00 | $0.00 | See FINRA Report |
| Scott David Steinke | 1052157 | 2 | 09/04/2012 | Customer Dispute | Closed-No Action | $82,145.00 | $0.00 | See FINRA Report |
| James Sean Lebaron | 2308025 | 2 | 06/12/2012 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Harrold Bachmann Ribich | 1590089 | 2 | 01/23/2012 | Customer Dispute | Closed-No Action | $6,000.00 | $0.00 | See FINRA Report |
| Kurt Deforest Waid | 5202622 | 1 | 10/17/2011 | Customer Dispute | Closed-No Action | $36,000.00 | $0.00 | See FINRA Report |
| Phillip John Meyer | 1419113 | 2 | 08/22/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Dryden James Geronimi | 4269874 | 2 | 07/13/2011 | Customer Dispute | Closed-No Action | $13,484.60 | $0.00 | See FINRA Report |
| Larry Randolph Isley | 255580 | 1 | 02/09/2011 | Customer Dispute | Closed-No Action | $21,250.00 | $0.00 | See FINRA Report |
| Alan Thomas Matlosz | 2259304 | 1 | 01/24/2011 | Customer Dispute | Closed-No Action | $110,000.00 | $0.00 | See FINRA Report |