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 Raymond Lisowski | 1011572 | 2 | 09/17/2018 | Customer Dispute | Award / Judgment | $390,000.00 | $500,000.00 | See FINRA Report |
| Mark Fallon Kregor | 2403684 | 11 | 09/10/2018 | Customer Dispute | Settled | $179,791.00 | $0.00 | See FINRA Report |
| Steven Lewis Sellman | 1611870 | 2 | 08/17/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Johnny Gin Yang Ng | 4044141 | 1 | 08/15/2018 | Customer Dispute | Settled | $15,562.00 | $0.00 | See FINRA Report |
| Adam Saul Frankfort | 1293630 | 2 | 08/10/2018 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| William Francis | 2783866 | 1 | 08/06/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark Fallon Kregor | 2403684 | 11 | 08/01/2018 | Customer Dispute | Settled | $185,358.00 | $0.00 | See FINRA Report |
| Taylor Edward Browman | 734371 | 4 | 07/21/2018 | Customer Dispute | Denied | $23,792.80 | $0.00 | See FINRA Report |
| Thomas Lee Sickler | 1182043 | 3 | 07/19/2018 | Customer Dispute | Denied | $45,084.00 | $0.00 | See FINRA Report |
| Patrick M Dever | 2202204 | 2 | 05/25/2018 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |