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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Thompson | 4631462 | 3 | 07/05/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark Fallon Kregor | 2403684 | 11 | 05/21/2015 | Customer Dispute | Settled | $134,989.00 | $0.00 | See FINRA Report |
| Johnson Powell Noerdlinger | 2515218 | 2 | 04/29/2015 | Customer Dispute | Settled | $22,688.00 | $0.00 | See FINRA Report |
| John Patrick McCarthy | 1820873 | 1 | 04/23/2015 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Craig Michael Bentley | 3241519 | 3 | 04/21/2015 | Customer Dispute | Denied | $21,636.00 | $0.00 | See FINRA Report |
| Vicki Lynn Bayley | 2607884 | 1 | 04/15/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Lynn Mitchell | 1523211 | 5 | 03/31/2015 | Customer Dispute | Denied | $450,000.00 | $0.00 | See FINRA Report |
| Jerry Hong | 1562335 | 1 | 03/23/2015 | Customer Dispute | Settled | $28,000.00 | $0.00 | See FINRA Report |
| Victor Joseph Costa | 2464649 | 2 | 03/17/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Bruce Holz | 2488092 | 5 | 03/09/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |