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 |
|---|---|---|---|---|---|---|---|---|
| Manuel David Lozano | 1004483 | 9 | 07/16/2010 | Customer Dispute | Denied | $750,000.00 | $0.00 | See FINRA Report |
| John Michael Arthur | 703729 | 3 | 06/29/2010 | Customer Dispute | Pending | $375,000.00 | $0.00 | See FINRA Report |
| Richard Todd Zuckerman | 1828594 | 1 | 06/14/2010 | Customer Dispute | Settled | $2,325,000.00 | $0.00 | See FINRA Report |
| Robert Michael Burkarth | 1998509 | 2 | 05/24/2010 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Theodore Michael Sanders | 1660986 | 5 | 05/17/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Loren Justin Morrison | 4578161 | 10 | 05/04/2010 | Customer Dispute | Settled | $68,000.00 | $0.00 | See FINRA Report |
| John Michael Volpe | 1112161 | 2 | 05/03/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Editha Santos Shemke | 4135649 | 1 | 04/30/2010 | Customer Dispute | Denied | $1,000,000.00 | $0.00 | See FINRA Report |
| Daniel G Raupp | 1971043 | 3 | 04/28/2010 | Customer Dispute | Withdrawn | $400,000.00 | $0.00 | See FINRA Report |
| Stephen Scott Brown | 1799847 | 3 | 04/26/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |