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 |
|---|---|---|---|---|---|---|---|---|
| Norman Martin Fishbein | 208493 | 3 | 12/01/1985 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Neil Hattem | 862803 | 3 | 07/05/1985 | Customer Dispute | Award / Judgment | $100,000.00 | $72,800.00 | See FINRA Report |
| John Francis Lee | 722251 | 3 | 01/01/1985 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Kenneth Thomas Bruno | 854559 | 6 | 11/13/1984 | Customer Dispute | Award / Judgment | $25,000.00 | $8,350.00 | See FINRA Report |
| William Edgar Tienken | 1062985 | 1 | 11/01/1984 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert William Kuech | 874818 | 2 | 03/24/1982 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph Anthony Galluzzo | 841591 | 3 | 11/01/1980 | Customer Dispute | Settled | $90,000.00 | $0.00 | See FINRA Report |
| David Saul Minker | 336377 | 8 | 10/01/1977 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Anthony Strainer | 437914 | 4 | 02/28/1973 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Daniel William Carnevale | 41099 | 4 | 11/30/-0001 | Customer Dispute | Award / Judgment | $250,000.00 | $93,000.00 | See FINRA Report |