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 |
|---|---|---|---|---|---|---|---|---|
| Sandra Hedstrom Wheeler | 2210090 | 1 | 06/14/2007 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Richard Albert Bonnette | 1561248 | 7 | 05/01/2006 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Evan Rohrbough | 1248560 | 2 | 04/21/2006 | Customer Dispute | Closed-No Action | $75,000.00 | $0.00 | See FINRA Report |
| Keith Allen Walker | 2888577 | 4 | 03/17/2006 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Danny Lee Stockton | 1944847 | 2 | 02/07/2006 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Theodore James Sturges | 1641380 | 2 | 11/09/2005 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Stephen Gerard Mosca | 2031740 | 5 | 09/20/2005 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Julian A Lively | 2161759 | 1 | 08/30/2005 | Customer Dispute | Closed-No Action | $65,000.00 | $0.00 | See FINRA Report |
| Mark Stephen Lazart | 859943 | 1 | 07/25/2005 | Customer Dispute | Closed-No Action | $38,000.00 | $0.00 | See FINRA Report |
| Michael Chris Nielsen | 2774722 | 1 | 11/23/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |