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 William Beckmann | 1685426 | 1 | 04/22/2009 | Customer Dispute | Denied | $7,100.00 | $0.00 | See FINRA Report |
| Amanda Leigh Campbell | 4807647 | 1 | 04/22/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joseph Anthony Galluzzo | 841591 | 3 | 04/21/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Mark Holliday | 2773162 | 2 | 04/15/2009 | Customer Dispute | Pending | $750,000.00 | $0.00 | See FINRA Report |
| Mat Murfree Johnson | 259903 | 2 | 04/15/2009 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Mark Allen Hainer | 2559920 | 3 | 04/13/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bradley Franklin Pendleton | 4653407 | 1 | 04/13/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Dwight Ravensberg | 827489 | 1 | 04/08/2009 | Customer Dispute | Closed-No Action | $20,000.00 | $0.00 | See FINRA Report |
| Joseph Michael Militello | 5029996 | 2 | 04/06/2009 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |
| Buz Edward Zamarron | 1737421 | 1 | 04/01/2009 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |