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 |
|---|---|---|---|---|---|---|---|---|
| Mark James Stevenson | 436079 | 9 | 05/28/2014 | Customer Dispute | Settled | $4,000,000.00 | $0.00 | See FINRA Report |
| Richard T Cochran | 49377 | 4 | 05/01/2014 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Larry Rust Toole | 1533007 | 6 | 05/01/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Sonia Rose Ginnell | 1325951 | 1 | 04/23/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Robert Gordon | 1635949 | 12 | 04/08/2014 | Customer Dispute | Settled | $16,081.50 | $0.00 | See FINRA Report |
| Tana Marie Reich | 2969966 | 4 | 04/03/2014 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Raymond Brian Patraw | 4962879 | 1 | 03/27/2014 | Customer Dispute | Award / Judgment | $24,000.00 | $441.14 | See FINRA Report |
| Tana Marie Reich | 2969966 | 4 | 03/27/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Keith Allen Walker | 2888577 | 4 | 03/21/2014 | Customer Dispute | Denied | $777,488.00 | $0.00 | See FINRA Report |
| Elaina Friesel Garvin | 2383841 | 2 | 01/31/2014 | Customer Dispute | Settled | $175,000.00 | $0.00 | See FINRA Report |