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 |
|---|---|---|---|---|---|---|---|---|
| Patrick John McLaughlin | 2083126 | 2 | 01/28/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Eric Norris Haley | 4245773 | 1 | 01/22/2014 | Customer Dispute | Denied | $41,201.00 | $0.00 | See FINRA Report |
| Mark James Stevenson | 436079 | 9 | 01/15/2014 | Customer Dispute | Settled | $1,519,370.00 | $0.00 | See FINRA Report |
| Dominick Minicucci | 2280173 | 1 | 01/03/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Raymond Minicucci | 1321150 | 4 | 01/03/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Dean Neil Thompson | 2299479 | 1 | 12/23/2013 | Customer Dispute | Denied | $18,400.00 | $0.00 | See FINRA Report |
| Wayne Spencer Frank | 3111263 | 1 | 12/11/2013 | Customer Dispute | Closed-No Action | $75,000.00 | $0.00 | See FINRA Report |
| Gregory Arndt Hicks | 1719418 | 2 | 11/18/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Francine Lee Frechter | 1224323 | 3 | 11/11/2013 | Customer Dispute | Settled | $715,303.00 | $0.00 | See FINRA Report |
| Jason Filip Murphy | 2582762 | 3 | 10/25/2013 | Customer Dispute | Denied | $384,181.00 | $0.00 | See FINRA Report |