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 |
|---|---|---|---|---|---|---|---|---|
| Manuel David Lozano | 1004483 | 9 | 01/19/1987 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Timothy Alexis Johnson | 874358 | 4 | 01/15/1987 | Customer Dispute | Settled | $16,000.00 | $0.00 | See FINRA Report |
| Manuel David Lozano | 1004483 | 9 | 10/01/1986 | Customer Dispute | Settled | $11,000.00 | $0.00 | See FINRA Report |
| Patrick Francis Sinclair | 1007163 | 2 | 09/25/1986 | Customer Dispute | Award / Judgment | $19,045.00 | $5,200.00 | See FINRA Report |
| William James Sadler | 852633 | 5 | 09/10/1986 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Stephen Solon Wasserman | 459657 | 1 | 06/23/1986 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| 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 |