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 |
|---|---|---|---|---|---|---|---|---|
| Daniel Stephen Spring | 1200081 | 3 | 01/27/1994 | Customer Dispute | Settled | $199,400.00 | $0.00 | See FINRA Report |
| Kenneth David Miller | 1025721 | 3 | 10/21/1993 | Customer Dispute | Settled | $32,912.00 | $0.00 | See FINRA Report |
| Kenneth David Miller | 1025721 | 3 | 10/21/1993 | Customer Dispute | Settled | $18,162.00 | $0.00 | See FINRA Report |
| Frank A Dyer | 714057 | 1 | 10/21/1993 | Customer Dispute | Settled | $22,679.00 | $0.00 | See FINRA Report |
| Michael Andrew Faulkenbury | 705818 | 1 | 10/21/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jerome Charles Gendron | 1443711 | 5 | 10/21/1993 | Customer Dispute | Settled | $9,061.00 | $0.00 | See FINRA Report |
| Jerome Charles Gendron | 1443711 | 5 | 10/21/1993 | Customer Dispute | Settled | $6,982.00 | $0.00 | See FINRA Report |
| Nathan Louis Karras | 264588 | 5 | 10/05/1993 | Customer Dispute | Award / Judgment | $1,000,000.00 | $275,200.00 | See FINRA Report |
| Jerome Matthew Zitzmann | 1293408 | 1 | 08/26/1993 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Taylor Edward Browman | 734371 | 4 | 08/05/1993 | Customer Dispute | Settled | $19,585.80 | $0.00 | See FINRA Report |