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 |
|---|---|---|---|---|---|---|---|---|
| Roger Lowell Wilkie | 467135 | 8 | 10/07/2010 | Customer Dispute | Settled | $2,270,000.00 | $0.00 | See FINRA Report |
| Patrick M Dever | 2202204 | 2 | 09/29/2010 | Customer Dispute | Settled | $375,000.00 | $0.00 | See FINRA Report |
| Chuck A Roberts | 2064602 | 22 | 09/20/2010 | Customer Dispute | Award / Judgment | $313,250.00 | $202,228.00 | See FINRA Report |
| Daniel G Raupp | 1971043 | 3 | 09/16/2010 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| David Jay Lowi | 2512923 | 3 | 09/02/2010 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Randall Kyle Anderson | 5413 | 5 | 08/31/2010 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Dryden James Geronimi | 4269874 | 2 | 08/23/2010 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Gary Vincent Shields | 869265 | 1 | 08/16/2010 | Customer Dispute | Settled | $37,000.00 | $0.00 | See FINRA Report |
| John Vincent Rucker | 2150281 | 1 | 08/05/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Harold Hughes | 4349206 | 1 | 08/03/2010 | Customer Dispute | Settled | $67,209.00 | $0.00 | See FINRA Report |