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 |
|---|---|---|---|---|---|---|---|---|
| Robert Lynn Mitchell | 1523211 | 5 | 05/21/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Emmet Cleary | 1505792 | 2 | 05/17/2018 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| John Barry Jenkins | 1473998 | 4 | 04/30/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Christopher Thompson | 4631462 | 3 | 03/27/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Frederick Charles Shibel | 1121121 | 1 | 03/27/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Manuel David Lozano | 1004483 | 9 | 03/26/2018 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Christian Asmus Comberg | 2040441 | 1 | 03/12/2018 | Customer Dispute | Denied | $80,000.00 | $0.00 | See FINRA Report |
| Philip James MacDonald | 2648980 | 1 | 03/01/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Frederick Scott Witham | 2543799 | 2 | 02/21/2018 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Scott William MacOlino | 2402121 | 6 | 01/18/2018 | Customer Dispute | Denied | $121,000.00 | $0.00 | See FINRA Report |