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 |
|---|---|---|---|---|---|---|---|---|
| Randall Kyle Anderson | 5413 | 5 | 06/26/1995 | Customer Dispute | Settled | $330,543.00 | $0.00 | See FINRA Report |
| Craig Alan Cline | 1588511 | 1 | 06/15/1995 | Customer Dispute | Settled | $15,000,000.00 | $0.00 | See FINRA Report |
| Daniel Paul Verbic | 2273007 | 3 | 06/15/1995 | Customer Dispute | Settled | $2,500,000.00 | $0.00 | See FINRA Report |
| Daniel Stephen Spring | 1200081 | 3 | 03/22/1995 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Daniel Stephen Spring | 1200081 | 3 | 02/24/1995 | Customer Dispute | Settled | $140,000.00 | $0.00 | See FINRA Report |
| Thomas David Thomson | 1492592 | 3 | 12/27/1994 | Customer Dispute | Settled | $141,464.00 | $0.00 | See FINRA Report |
| Malcolm Graham Bourne | 1562435 | 5 | 10/18/1994 | Customer Dispute | Settled | $65,000.00 | $0.00 | See FINRA Report |
| Malcolm Graham Bourne | 1562435 | 5 | 09/12/1994 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Peter Martin Fierro | 1011222 | 3 | 08/17/1994 | Customer Dispute | Award / Judgment | $34,672.10 | $50,000.00 | See FINRA Report |
| Jacky William Smith | 1640387 | 1 | 07/27/1994 | Customer Dispute | Settled | $182,806.00 | $0.00 | See FINRA Report |