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 |
|---|---|---|---|---|---|---|---|---|
| Hal William Johnson | 2619098 | 1 | 07/19/2016 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Harold Jay Meyers | 333327 | 8 | 07/18/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Bruce Arnold Chappell | 2471281 | 1 | 07/09/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kerry John Mangano | 1059546 | 5 | 07/08/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Harry Edward Fischer | 829238 | 4 | 07/05/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas Lee Sickler | 1182043 | 3 | 06/30/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Matthew Robert Naula | 345238 | 3 | 06/28/2016 | Customer Dispute | Denied | $77,000.00 | $0.00 | See FINRA Report |
| Marc Yukio Kozuki | 5185147 | 1 | 06/10/2016 | Customer Dispute | Award / Judgment | $100,000.00 | $0.00 | See FINRA Report |
| Phillip C Jenkins | 4644691 | 1 | 06/09/2016 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Steven Barry Disser | 2314807 | 1 | 06/08/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |