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 |
|---|---|---|---|---|---|---|---|---|
| Francine Louise Foerst | 1958697 | 2 | 06/08/2016 | Customer Dispute | Award / Judgment | $32,950.30 | $0.00 | See FINRA Report |
| Kenneth Thomas Bruno | 854559 | 6 | 05/26/2016 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Herbert Charles Buchbinder | 34261 | 5 | 05/24/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kenneth Thomas Bruno | 854559 | 6 | 05/20/2016 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Mary Carruthers | 1240374 | 4 | 05/18/2016 | Customer Dispute | Settled | $208,543.00 | $0.00 | See FINRA Report |
| Ronald William Oliver | 1666760 | 1 | 04/24/2016 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Michael Stephen Long | 856325 | 2 | 03/31/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Keith Edwin Downard | 859799 | 2 | 03/14/2016 | Customer Dispute | Settled | $51,242.40 | $0.00 | See FINRA Report |
| Ronald Lee Wruck | 1899306 | 2 | 02/17/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Matthew Joseph Portnoy | 1855624 | 1 | 02/15/2016 | Customer Dispute | Denied | $125,000.00 | $0.00 | See FINRA Report |