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 |
|---|---|---|---|---|---|---|---|---|
| John Ralph Lynch | 1351959 | 2 | 10/21/2013 | Customer Dispute | Settled | $23,526.40 | $0.00 | See FINRA Report |
| Larry Howard Lehrman | 2066962 | 2 | 10/14/2013 | Customer Dispute | Denied | $16,201.40 | $0.00 | See FINRA Report |
| Michael E Stein | 2188903 | 1 | 10/09/2013 | Customer Dispute | Settled | $175,000.00 | $0.00 | See FINRA Report |
| Matthew John Hickey | 4989648 | 2 | 09/18/2013 | Customer Dispute | Denied | $45,822.00 | $0.00 | See FINRA Report |
| John Eric Suess | 1950146 | 2 | 09/12/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Linda Sue Winders | 2412369 | 1 | 09/03/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Patricia Bayer Walsh | 1526824 | 1 | 08/29/2013 | Customer Dispute | Dismissed | $5,000,000.00 | $0.00 | See FINRA Report |
| Patricia Jeannine Tippins | 2283279 | 3 | 08/23/2013 | Customer Dispute | Award / Judgment | $79,796.60 | $0.00 | See FINRA Report |
| Diego Canalda | 2952690 | 2 | 08/20/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert John Stangel | 2948977 | 1 | 08/19/2013 | Customer Dispute | Denied | $76,270.40 | $0.00 | See FINRA Report |