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 |
|---|---|---|---|---|---|---|---|---|
| Theodore James Sturges | 1641380 | 2 | 06/09/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Carr White | 1461923 | 1 | 06/09/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michele Huff Powell | 2219756 | 2 | 06/09/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven Austin Yenshaw | 2069953 | 1 | 05/29/2009 | Customer Dispute | Settled | $296,000.00 | $0.00 | See FINRA Report |
| James Lebaron Springer | 2535792 | 3 | 05/18/2009 | Customer Dispute | Settled | $477,074.00 | $0.00 | See FINRA Report |
| Jeffrey Robert Gordon | 1635949 | 12 | 05/15/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Christopher Johnson | 1991393 | 2 | 05/05/2009 | Customer Dispute | Denied | $26,000.00 | $0.00 | See FINRA Report |
| James Franklin Bernard | 2550802 | 5 | 05/04/2009 | Customer Dispute | Denied | $10,113.90 | $0.00 | See FINRA Report |
| James Harvey Moll | 1423498 | 1 | 04/24/2009 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Christopher Douglas Romney | 1499192 | 2 | 04/22/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |