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| James Douglas Harris | 2223899 | 3 | 04/20/2010 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Marcus Skinner Childers | 1600346 | 1 | 04/15/2010 | Customer Dispute | Denied | $127,084.00 | $0.00 | See FINRA Report |
| John Michael Arthur | 703729 | 3 | 04/08/2010 | Customer Dispute | Pending | $550,000.00 | $0.00 | See FINRA Report |
| Craig Edward Johnson | 813024 | 1 | 03/23/2010 | Customer Dispute | Dismissed | $0.00 | $0.00 | See FINRA Report |
| Kevin Charles Murphy | 1016717 | 2 | 03/08/2010 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Todd Allen Rinderer | 1764251 | 3 | 03/05/2010 | Customer Dispute | Denied | $17,000.00 | $0.00 | See FINRA Report |
| Scott David Steinke | 1052157 | 2 | 02/22/2010 | Customer Dispute | Award / Judgment | $1,000,000.00 | $175,254.00 | See FINRA Report |
| Mary Carruthers | 1240374 | 4 | 02/12/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Anthony Arnall Morrison | 2192549 | 4 | 02/01/2010 | Customer Dispute | Withdrawn | $100,000.00 | $0.00 | See FINRA Report |
| Douglas Charles Houtz | 1934295 | 4 | 01/28/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |