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 Scaglione | 1193051 | 2 | 07/12/1994 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Mark Scaglione | 1193051 | 2 | 06/03/1994 | Customer Dispute | Settled | $129,992.00 | $0.00 | See FINRA Report |
| Steven Elliot Gottesman | 1500177 | 8 | 05/12/1994 | Customer Dispute | Settled | $24,000.00 | $0.00 | See FINRA Report |
| Morton Elwood Wolverton | 1916382 | 8 | 04/25/1994 | Customer Dispute | Settled | $493,000.00 | $0.00 | See FINRA Report |
| Richard James Ward | 864653 | 1 | 04/14/1994 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Jerome Charles Gendron | 1443711 | 5 | 03/11/1994 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Dennis Gary Dashner | 1091915 | 1 | 03/10/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Pendleton Goddard | 1635085 | 1 | 02/28/1994 | Customer Dispute | Award / Judgment | $36,046.00 | $45,027.10 | See FINRA Report |
| Edward Galbreath Blackman | 1246068 | 3 | 02/28/1994 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Lamberth Palmares Reyes | 1926083 | 1 | 02/01/1994 | Customer Dispute | Settled | $104,000.00 | $0.00 | See FINRA Report |