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 |
|---|---|---|---|---|---|---|---|---|
| Robert Douglas Sullivan | 1332934 | 4 | 04/22/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James John Garcia | 1001147 | 2 | 04/19/1999 | Customer Dispute | Settled | $57,167.00 | $0.00 | See FINRA Report |
| Marc Stuart Cohen | 50025 | 2 | 04/14/1999 | Customer Dispute | Denied | $23,561.00 | $0.00 | See FINRA Report |
| Robert Douglas Sullivan | 1332934 | 4 | 04/14/1999 | Customer Dispute | Denied | $88,125.00 | $0.00 | See FINRA Report |
| John Robert Taylor | 1989525 | 10 | 04/09/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jonathan Harry Siegel | 1771891 | 2 | 04/01/1999 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Barry Lewis Cohn | 1234121 | 1 | 03/31/1999 | Customer Dispute | Settled | $819,285.00 | $0.00 | See FINRA Report |
| Mark Wayne Severson | 1280938 | 5 | 03/30/1999 | Customer Dispute | Settled | $205,093.00 | $0.00 | See FINRA Report |
| David Bennett Woffindin | 817560 | 4 | 03/26/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Patrick Daniel Hayes | 1771991 | 2 | 03/23/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |