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 |
|---|---|---|---|---|---|---|---|---|
| Matthew Fredrick Neis | 2128123 | 1 | 04/30/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Craig Allen Herrington | 1390750 | 1 | 04/16/2008 | Customer Dispute | Closed-No Action | $65,000.00 | $0.00 | See FINRA Report |
| John Marinus van Donge | 1840127 | 3 | 04/02/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Sibyl Catherine Saager-Zekic | 1381231 | 1 | 03/25/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Henry Edward Frenzel | 4461980 | 1 | 03/24/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Christopher William Inglis | 1040321 | 2 | 11/16/2007 | Customer Dispute | Closed-No Action | $37,170.50 | $0.00 | See FINRA Report |
| Corrina Kay Phillips | 2894069 | 1 | 11/14/2007 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John Eric Suess | 1950146 | 2 | 11/08/2007 | Customer Dispute | Closed-No Action | $550,000.00 | $0.00 | See FINRA Report |
| Larry Dean Watts | 1091948 | 2 | 09/07/2007 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Elliott Katz | 839300 | 3 | 08/22/2007 | Customer Dispute | Closed-No Action | $9,305.00 | $0.00 | See FINRA Report |