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 |
|---|---|---|---|---|---|---|---|---|
| Susan Elizabeth Rea | 866863 | 1 | 05/04/1989 | Customer Dispute | Settled | $428,508.00 | $0.00 | See FINRA Report |
| Richard Alphonse Ray | 704832 | 1 | 04/05/1989 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |
| Edward Franklin Abbey | 809243 | 3 | 03/31/1989 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Lynn Cooper Faust | 729012 | 6 | 03/30/1989 | Customer Dispute | Award / Judgment | $24,038.30 | $8,000.00 | See FINRA Report |
| Roger Lowell Wilkie | 467135 | 8 | 11/04/1988 | Customer Dispute | Award / Judgment | $423,545.00 | $25,000.00 | See FINRA Report |
| Jeffrey Scott Luedke | 873796 | 4 | 07/07/1988 | Customer Dispute | Settled | $20,482.70 | $0.00 | See FINRA Report |
| Steven Jay Jefferis | 709139 | 2 | 07/01/1988 | Customer Dispute | Settled | $28,638.20 | $0.00 | See FINRA Report |
| Robert Thomas Friedmann | 820927 | 1 | 05/02/1988 | Customer Dispute | Award / Judgment | $0.00 | $20,000.00 | See FINRA Report |
| Lynn Cooper Faust | 729012 | 6 | 04/21/1988 | Customer Dispute | Award / Judgment | $17,000.00 | $2,300.00 | See FINRA Report |
| James Anthony Strainer | 437914 | 4 | 03/01/1988 | Customer Dispute | Award / Judgment | $140,000.00 | $46,750.00 | See FINRA Report |