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 |
|---|---|---|---|---|---|---|---|---|
| Andrew Scheier | 2820778 | 3 | 02/12/2016 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Jason Earle Baer | 2875427 | 1 | 02/10/2016 | Customer Dispute | Denied | $57,237.00 | $0.00 | See FINRA Report |
| Robert Kyle Ratcliff | 1888152 | 1 | 01/08/2016 | Customer Dispute | Award / Judgment | $75,000.00 | $117,477.00 | See FINRA Report |
| Gerald William Wunderlich | 1255126 | 1 | 01/08/2016 | Customer Dispute | Settled | $69,000.00 | $0.00 | See FINRA Report |
| William Kablack | 5987435 | 1 | 12/31/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Wimberly Dillard McCoy | 1431890 | 4 | 12/14/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Patricia Jeannine Tippins | 2283279 | 3 | 12/05/2015 | Customer Dispute | Denied | $11,000.00 | $0.00 | See FINRA Report |
| Craig Michael Bentley | 3241519 | 3 | 11/16/2015 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Joshua Glass | 4685945 | 1 | 10/16/2015 | Customer Dispute | Withdrawn | $40,000.00 | $0.00 | See FINRA Report |
| David Bruce Holz | 2488092 | 5 | 10/08/2015 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |