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 |
|---|---|---|---|---|---|---|---|---|
| Brett David Levinson | 2644880 | 2 | 02/23/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Cynthia Elaine Touchton | 2381833 | 2 | 12/15/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas Lee Sickler | 1182043 | 3 | 12/09/2014 | Customer Dispute | Withdrawn | $19,672.80 | $0.00 | See FINRA Report |
| Barry Clarence Bruner | 1565469 | 2 | 11/17/2014 | Customer Dispute | Closed-No Action | $10,728.00 | $0.00 | See FINRA Report |
| Jonathan Isler | 2373227 | 3 | 11/13/2014 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Steven Elliot Gottesman | 1500177 | 8 | 11/13/2014 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Robert Joseph Hellman | 2508238 | 1 | 10/14/2014 | Customer Dispute | Settled | $44,847.00 | $0.00 | See FINRA Report |
| Joseph Michael Nally | 3200162 | 1 | 09/30/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Barre McLeod Butler | 1706585 | 2 | 08/29/2014 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Andrew Scott Harvey | 4482129 | 1 | 07/17/2014 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |