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 |
|---|---|---|---|---|---|---|---|---|
| James Alan Crenna | 809238 | 2 | 09/10/1997 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Jerome Charles Gendron | 1443711 | 5 | 08/25/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Teri Roxanne Wilson | 1113805 | 3 | 08/21/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Cyril Burkhardt | 2024063 | 1 | 06/12/1997 | Customer Dispute | Award / Judgment | $0.00 | $1,000.00 | See FINRA Report |
| James Benton Stambaugh | 1235230 | 1 | 05/08/1997 | Customer Dispute | Award / Judgment | $215,000.00 | $4,000.00 | See FINRA Report |
| David Saul Mann | 1008052 | 3 | 03/06/1997 | Customer Dispute | Settled | $29,375.00 | $0.00 | See FINRA Report |
| Jeffrey Stewart Sutton | 2392032 | 2 | 02/19/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brett Brian Faulk | 2130056 | 2 | 01/16/1997 | Customer Dispute | Award / Judgment | $61,324.10 | $10,407.00 | See FINRA Report |
| Mark James Stevenson | 436079 | 9 | 10/30/1996 | Customer Dispute | Dismissed | $0.00 | $0.00 | See FINRA Report |
| James Ross McCready | 832987 | 1 | 10/15/1996 | Customer Dispute | Settled | $43,125.00 | $0.00 | See FINRA Report |