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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Thomas John Gagner | 216422 | 3 | 05/05/1981 | 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 |
| Randall Kent Minas | 821449 | 11 | 11/30/-0001 | Customer Dispute | Settled | $600,000.00 | $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 |