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 |
|---|---|---|---|---|---|---|---|---|
| Terry Max Beeman | 1015086 | 3 | 03/16/1998 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Henry Anthony Otten | 1131860 | 4 | 02/24/1998 | Customer Dispute | Award / Judgment | $0.00 | $15,500.00 | See FINRA Report |
| Samuel V Morse Jr | 2609705 | 2 | 02/20/1998 | Customer Dispute | Denied | $68,000.00 | $0.00 | See FINRA Report |
| Robert Marshall Jelderks | 2303460 | 2 | 01/28/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeffrey James Wells | 1143280 | 1 | 01/09/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Timothy Charles Metcalf | 1193396 | 3 | 11/25/1997 | Customer Dispute | Settled | $211,000.00 | $0.00 | See FINRA Report |
| Michael John Petrucelli | 1183809 | 5 | 11/20/1997 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| David Goldman | 224294 | 1 | 10/03/1997 | Customer Dispute | Settled | $81,000.00 | $0.00 | See FINRA Report |
| Michael Peter Wallace | 1669378 | 2 | 09/15/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Alan Crenna | 809238 | 2 | 09/10/1997 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |