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 |
|---|---|---|---|---|---|---|---|---|
| Thomas John Monson | 1123630 | 3 | 03/21/2012 | Customer Dispute | Settled | $111,324.00 | $0.00 | See FINRA Report |
| David Luther Holsted | 1316385 | 1 | 03/12/2012 | Customer Dispute | Settled | $333,872.00 | $0.00 | See FINRA Report |
| John Mark Cash | 2870741 | 2 | 02/10/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Dane Allan Anderson | 2883630 | 1 | 01/24/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Randall Kyle Anderson | 5413 | 5 | 01/24/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Harrold Bachmann Ribich | 1590089 | 2 | 01/23/2012 | Customer Dispute | Closed-No Action | $6,000.00 | $0.00 | See FINRA Report |
| Leslie Christopher Quick | 4810736 | 1 | 12/28/2011 | Customer Dispute | Denied | $956,000.00 | $0.00 | See FINRA Report |
| Scott Allen Measner | 2730240 | 2 | 12/28/2011 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Gregory John Carlson | 1839032 | 2 | 12/22/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stephen Gerard Mosca | 2031740 | 5 | 12/02/2011 | Customer Dispute | Settled | $29,753.50 | $0.00 | See FINRA Report |