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 Gregg Matheson | 2598004 | 2 | 07/23/2012 | Customer Dispute | Settled | $235,000.00 | $0.00 | See FINRA Report |
| Carol Kelley Harrison | 3254376 | 2 | 07/10/2012 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Rahn Stuart Lund | 1462843 | 3 | 06/28/2012 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| James Sean Lebaron | 2308025 | 2 | 06/12/2012 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Steven Danieli | 1095496 | 5 | 05/23/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Saul Minker | 336377 | 8 | 05/07/2012 | Customer Dispute | Settled | $282,000.00 | $0.00 | See FINRA Report |
| John Barry Jenkins | 1473998 | 4 | 04/17/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Geoffrey Paul Espe | 2221312 | 2 | 03/30/2012 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |
| Larry Michael Flynn | 2252129 | 1 | 03/30/2012 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |
| Michael Doyle Dammert | 2108906 | 3 | 03/22/2012 | Customer Dispute | Settled | $320,795.00 | $0.00 | See FINRA Report |