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 |
|---|---|---|---|---|---|---|---|---|
| John Marinus van Donge | 1840127 | 3 | 09/28/2016 | Customer Dispute | Settled | $419,845.00 | $0.00 | See FINRA Report |
| Christopher Anthony Paganelli | 5906775 | 2 | 09/26/2016 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Michael John Adams | 860173 | 1 | 09/12/2016 | Customer Dispute | Settled | $308,908.00 | $0.00 | See FINRA Report |
| Kenneth J Christman | 4306483 | 2 | 08/30/2016 | Customer Dispute | Settled | $122,000.00 | $0.00 | See FINRA Report |
| Walter Story Twetten | 2645250 | 1 | 08/29/2016 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Robert Emmet Cleary | 1505792 | 2 | 08/24/2016 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| David Bruce Holz | 2488092 | 5 | 08/23/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kenneth J Christman | 4306483 | 2 | 08/19/2016 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |
| Asma Mahmood | 4304177 | 1 | 08/09/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Dorsey | 1585567 | 2 | 07/21/2016 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |