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 |
|---|---|---|---|---|---|---|---|---|
| Alan Jeffrey Cohen | 1465867 | 4 | 09/24/1992 | Customer Dispute | Award / Judgment | $0.00 | $3,087.00 | See FINRA Report |
| Steven Elliot Gottesman | 1500177 | 8 | 09/18/1992 | Customer Dispute | Settled | $15,983.00 | $0.00 | See FINRA Report |
| Robert Douglas Sullivan | 1332934 | 4 | 07/01/1992 | Customer Dispute | Award / Judgment | $4,507.68 | $4,407.68 | See FINRA Report |
| Carmine Manna | 1626846 | 4 | 06/01/1992 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Robert James Debeer | 1223684 | 3 | 05/24/1992 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| Edward Franklin Abbey | 809243 | 3 | 05/01/1992 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Mark James Stevenson | 436079 | 9 | 04/08/1992 | Customer Dispute | Award / Judgment | $193,711.00 | $25,000.00 | See FINRA Report |
| Carmine Manna | 1626846 | 4 | 03/24/1992 | Customer Dispute | Settled | $10,875.00 | $0.00 | See FINRA Report |
| Edward John Hecker | 1397090 | 1 | 02/05/1992 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Roger Lowell Wilkie | 467135 | 8 | 01/23/1992 | Customer Dispute | Settled | $800,000.00 | $0.00 | See FINRA Report |