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 |
|---|---|---|---|---|---|---|---|---|
| John Charles Marcolla | 1276158 | 1 | 11/02/1999 | Customer Dispute | Denied | $5,200.00 | $0.00 | See FINRA Report |
| Fernando Omar Barzana | 14239 | 1 | 10/29/1999 | Customer Dispute | Settled | $317,319.00 | $0.00 | See FINRA Report |
| John Robert Taylor | 1989525 | 10 | 10/25/1999 | Customer Dispute | Award / Judgment | $200,000.00 | $52,000.00 | See FINRA Report |
| Danny Lee Stockton | 1944847 | 2 | 10/13/1999 | Customer Dispute | Closed-No Action | $7,250.00 | $0.00 | See FINRA Report |
| Mitchel Cea Peterson | 2913288 | 1 | 09/12/1999 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Michael Neal Rosenthal | 2408661 | 3 | 08/20/1999 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| David Bennett Woffindin | 817560 | 4 | 08/17/1999 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Louis Michael Saltarelli | 2562976 | 1 | 08/16/1999 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Robert David Traitz | 1158088 | 5 | 08/05/1999 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Timothy Charles Metcalf | 1193396 | 3 | 07/26/1999 | Customer Dispute | Award / Judgment | $250,000.00 | $263,225.00 | See FINRA Report |