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 |
|---|---|---|---|---|---|---|---|---|
| Mark Andrew Wielinga | 2235059 | 1 | 07/08/1998 | Customer Dispute | Award / Judgment | $38,947.00 | $30.00 | See FINRA Report |
| Steven Elliot Gottesman | 1500177 | 8 | 06/24/1998 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| David Louis Okun | 351789 | 3 | 06/22/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Wadsworth Lloyd | 1677861 | 1 | 06/01/1998 | Customer Dispute | Settled | $583,414.00 | $0.00 | See FINRA Report |
| Jeffrey Stewart Sutton | 2392032 | 2 | 05/25/1998 | Customer Dispute | Closed-No Action | $21,000.00 | $0.00 | See FINRA Report |
| Sherry D Parker | 1667466 | 2 | 05/14/1998 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Timothy Alexis Johnson | 874358 | 4 | 04/25/1998 | Customer Dispute | Settled | $28,069.20 | $0.00 | See FINRA Report |
| Andrew Kaye Klinger | 1974398 | 6 | 04/22/1998 | Customer Dispute | Closed-No Action | $16,940.80 | $0.00 | See FINRA Report |
| Robert Douglas Sullivan | 1332934 | 4 | 04/15/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Philip Dewitt Estabrook | 812722 | 1 | 03/26/1998 | Customer Dispute | Closed-No Action | $83,680.20 | $0.00 | See FINRA Report |