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 |
|---|---|---|---|---|---|---|---|---|
| Alan Carl Wolman | 2006916 | 5 | 11/16/2004 | Customer Dispute | Closed-No Action | $275,000.00 | $0.00 | See FINRA Report |
| Magay Lyn Shepard | 1449495 | 2 | 09/29/2004 | Customer Dispute | Closed-No Action | $63,886.00 | $0.00 | See FINRA Report |
| Chad Anthony Lojewski | 2690892 | 2 | 08/05/2004 | Customer Dispute | Closed-No Action | $7,000.00 | $0.00 | See FINRA Report |
| Mark M Rossi | 4156636 | 1 | 07/28/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Magay Lyn Shepard | 1449495 | 2 | 07/21/2004 | Customer Dispute | Closed-No Action | $550,000.00 | $0.00 | See FINRA Report |
| John Robert Carpenter | 2693859 | 1 | 04/01/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Daniel Long | 1968926 | 2 | 02/17/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Robert Peter Campolongo | 2856973 | 1 | 01/22/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael Neal Rosenthal | 2408661 | 3 | 01/16/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Johnson Powell Noerdlinger | 2515218 | 2 | 12/31/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |