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 |
|---|---|---|---|---|---|---|---|---|
| Patrick John McLaughlin | 2083126 | 2 | 01/16/2018 | Customer Dispute | Settled | $970,000.00 | $0.00 | See FINRA Report |
| Michael A Lieberman | 1416712 | 1 | 12/21/2017 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Randall Lee Otto | 2944154 | 1 | 12/15/2017 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Scott William Bedell | 1241080 | 1 | 12/04/2017 | Customer Dispute | Settled | $130,000.00 | $0.00 | See FINRA Report |
| Stephen George Mitchell | 1212258 | 1 | 11/27/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Susan Diane Hills | 4660153 | 1 | 11/14/2017 | Customer Dispute | Denied | $7,700.00 | $0.00 | See FINRA Report |
| Marc Efram Sukoneck | 2922106 | 6 | 09/22/2017 | Customer Dispute | Settled | $160,000.00 | $0.00 | See FINRA Report |
| Larry Rust Toole | 1533007 | 6 | 09/12/2017 | Customer Dispute | Denied | $211,057.00 | $0.00 | See FINRA Report |
| Manuel David Lozano | 1004483 | 9 | 09/07/2017 | Customer Dispute | Settled | $140,000.00 | $0.00 | See FINRA Report |
| David Bruce Holz | 2488092 | 5 | 09/01/2017 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |