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 |
|---|---|---|---|---|---|---|---|---|
| Lawrence Anthony Manica | 318682 | 1 | 08/01/1993 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Malcolm Graham Bourne | 1562435 | 5 | 07/09/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas Paul Brehm | 1922308 | 1 | 06/16/1993 | Customer Dispute | Award / Judgment | $150,000.00 | $5,500.00 | See FINRA Report |
| Patrick Michael Hoch | 1557481 | 3 | 06/01/1993 | Customer Dispute | Settled | $28,500.00 | $0.00 | See FINRA Report |
| Mark Wayne Severson | 1280938 | 5 | 05/14/1993 | Customer Dispute | Settled | $24,617.00 | $0.00 | See FINRA Report |
| John-Erik William Anderson | 1155315 | 1 | 03/19/1993 | Customer Dispute | Award / Judgment | $45,115.00 | $9,000.00 | See FINRA Report |
| Rosario Joseph Petrizzo | 1018665 | 3 | 03/11/1993 | Customer Dispute | Award / Judgment | $60,000.00 | $65,000.00 | See FINRA Report |
| Randall Kyle Anderson | 5413 | 5 | 02/24/1993 | Customer Dispute | Settled | $90,000.00 | $0.00 | See FINRA Report |
| Steven Elliot Gottesman | 1500177 | 8 | 01/01/1993 | Customer Dispute | Settled | $57,000.00 | $0.00 | See FINRA Report |
| Mark James Stevenson | 436079 | 9 | 11/13/1992 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |