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 |
|---|---|---|---|---|---|---|---|---|
| Gregory J Schaller | 4251842 | 2 | 09/07/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Stephen Jay Cohen | 2528898 | 4 | 04/17/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| James John Baudo | 2165589 | 1 | 03/28/2001 | Customer Dispute | Closed-No Action | $596,394.00 | $0.00 | See FINRA Report |
| Harold Robert Sorley | 2222994 | 1 | 01/08/2001 | Customer Dispute | Closed-No Action | $115,000.00 | $0.00 | See FINRA Report |
| Randall Kyle Anderson | 5413 | 5 | 10/24/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Randall Jay Powers | 1710653 | 2 | 09/07/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John Robert Taylor | 1989525 | 10 | 08/01/2000 | Customer Dispute | Closed-No Action | $37,000.00 | $0.00 | See FINRA Report |
| Kerry John Mangano | 1059546 | 5 | 06/28/2000 | Customer Dispute | Closed-No Action | $28,125.00 | $0.00 | See FINRA Report |
| Edward J Yen | 867919 | 4 | 02/04/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Barth Carl Roberts | 1787818 | 1 | 11/29/1999 | Customer Dispute | Closed-No Action | $75,953.00 | $0.00 | See FINRA Report |