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 |
|---|---|---|---|---|---|---|---|---|
| Martin Allen Stevens | 1804469 | 7 | 08/31/2017 | Customer Dispute | Denied | $249,000.00 | $0.00 | See FINRA Report |
| Martin Allen Stevens | 1804469 | 7 | 08/28/2017 | Customer Dispute | Award / Judgment | $34,719.00 | $13,500.00 | See FINRA Report |
| Patricia Jeannine Tippins | 2283279 | 3 | 08/25/2017 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Manuel David Lozano | 1004483 | 9 | 08/21/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark Fallon Kregor | 2403684 | 11 | 07/20/2017 | Customer Dispute | Settled | $262,366.00 | $0.00 | See FINRA Report |
| Geoffrey Paul Espe | 2221312 | 2 | 07/07/2017 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Theresa Ann Scott | 2684119 | 1 | 06/15/2017 | Customer Dispute | Settled | $28,553.40 | $0.00 | See FINRA Report |
| Thomas John Monson | 1123630 | 3 | 06/05/2017 | Customer Dispute | Denied | $52,564.50 | $0.00 | See FINRA Report |
| Adam Saul Frankfort | 1293630 | 2 | 05/31/2017 | Customer Dispute | Denied | $1,000,000.00 | $0.00 | See FINRA Report |
| Christopher Scott Hurst | 2633497 | 1 | 05/24/2017 | Customer Dispute | Settled | $19,711.00 | $0.00 | See FINRA Report |