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 |
|---|---|---|---|---|---|---|---|---|
| James John Garcia | 1001147 | 2 | 11/29/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Marc Efram Sukoneck | 2922106 | 6 | 11/17/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David F Evans | 4512380 | 1 | 10/18/2011 | Customer Dispute | Settled | $235,422.00 | $0.00 | See FINRA Report |
| Kurt Deforest Waid | 5202622 | 1 | 10/17/2011 | Customer Dispute | Closed-No Action | $36,000.00 | $0.00 | See FINRA Report |
| Scott William MacOlino | 2402121 | 6 | 09/28/2011 | Customer Dispute | Settled | $408,000.00 | $0.00 | See FINRA Report |
| Keith Roger Thompson | 2829609 | 1 | 09/22/2011 | Customer Dispute | Settled | $43,304.20 | $0.00 | See FINRA Report |
| John Hoff Russell | 728702 | 2 | 09/22/2011 | Customer Dispute | Settled | $43,304.20 | $0.00 | See FINRA Report |
| Edward J Yen | 867919 | 4 | 09/20/2011 | Customer Dispute | Settled | $450,000.00 | $0.00 | See FINRA Report |
| Mark Allen Hainer | 2559920 | 3 | 09/16/2011 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Phillip John Meyer | 1419113 | 2 | 08/22/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |