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 |
|---|---|---|---|---|---|---|---|---|
| Mark Fallon Kregor | 2403684 | 11 | 05/01/2017 | Customer Dispute | Settled | $374,141.00 | $0.00 | See FINRA Report |
| Richard Henry Thomas | 1012387 | 2 | 04/28/2017 | Customer Dispute | Denied | $20,755.30 | $0.00 | See FINRA Report |
| Philip Bernard Meisel | 1798696 | 1 | 04/07/2017 | Customer Dispute | Denied | $265,396.00 | $0.00 | See FINRA Report |
| Joseph Henry Murphy | 1829393 | 4 | 03/16/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Raymond Dean Martin | 2779690 | 3 | 03/15/2017 | Customer Dispute | Settled | $5,477.07 | $0.00 | See FINRA Report |
| Francine Louise Foerst | 1958697 | 2 | 03/06/2017 | Customer Dispute | Denied | $27,000.00 | $0.00 | See FINRA Report |
| George Jeffrey Edds | 1845208 | 1 | 02/27/2017 | Customer Dispute | Withdrawn | $17,000.00 | $0.00 | See FINRA Report |
| Nolan Dudley Baird | 1654510 | 2 | 01/30/2017 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| William Clarke Moynihan | 1627468 | 1 | 01/18/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Paul Vansteenhuyse | 869350 | 2 | 01/12/2017 | Customer Dispute | Denied | $53,987.00 | $0.00 | See FINRA Report |