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 |
|---|---|---|---|---|---|---|---|---|
| Nathan Louis Karras | 264588 | 5 | 02/19/1991 | Customer Dispute | Settled | $85,360.80 | $0.00 | See FINRA Report |
| Malcolm Richardson Frost | 1312220 | 1 | 02/19/1991 | Customer Dispute | Settled | $23,000.00 | $0.00 | See FINRA Report |
| Thomas Andrew Ruder | 827025 | 1 | 02/13/1991 | Customer Dispute | Award / Judgment | $0.00 | $50,500.00 | See FINRA Report |
| Thomas L Lawrence Huber | 1475881 | 4 | 01/23/1991 | Customer Dispute | Settled | $22,000.00 | $0.00 | See FINRA Report |
| Thomas Phillip Laporte | 829039 | 3 | 12/18/1990 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Raymond Minicucci | 1321150 | 4 | 11/16/1990 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Raymond Minicucci | 1321150 | 4 | 11/06/1990 | Customer Dispute | Award / Judgment | $4,944.75 | $1,199.91 | See FINRA Report |
| Jerry Schapira | 1159912 | 2 | 08/02/1990 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Paul Vansteenhuyse | 869350 | 2 | 07/31/1990 | Customer Dispute | Settled | $40,284.00 | $0.00 | See FINRA Report |
| Barre McLeod Butler | 1706585 | 2 | 05/14/1990 | Customer Dispute | Settled | $57,000.00 | $0.00 | See FINRA Report |