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 |
|---|---|---|---|---|---|---|---|---|
| Robert Louis Rosenberg | 2669522 | 3 | 08/15/2011 | Customer Dispute | Settled | $3,000,000.00 | $0.00 | See FINRA Report |
| Christopher William Inglis | 1040321 | 2 | 07/21/2011 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Dryden James Geronimi | 4269874 | 2 | 07/13/2011 | Customer Dispute | Closed-No Action | $13,484.60 | $0.00 | See FINRA Report |
| James Douglas Harris | 2223899 | 3 | 06/17/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Neal John Clement | 2997135 | 2 | 05/24/2011 | Customer Dispute | Settled | $381,140.00 | $0.00 | See FINRA Report |
| Leonard Ernest Weyeneth | 2608408 | 1 | 05/11/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert L Finkle | 2582256 | 1 | 04/20/2011 | Customer Dispute | Settled | $275,000.00 | $0.00 | See FINRA Report |
| Mat Murfree Johnson | 259903 | 2 | 04/11/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Sharon M Decampo | 1067936 | 1 | 04/05/2011 | Customer Dispute | Settled | $13,000.00 | $0.00 | See FINRA Report |
| William Solomon Kass | 1909784 | 1 | 03/30/2011 | Customer Dispute | Settled | $450,000.00 | $0.00 | See FINRA Report |