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 |
|---|---|---|---|---|---|---|---|---|
| Barksdale Jordan | 860428 | 2 | 03/25/2009 | Customer Dispute | Denied | $83,991.40 | $0.00 | See FINRA Report |
| James Franklin Dixon | 2520677 | 1 | 03/20/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Teri Roxanne Wilson | 1113805 | 3 | 03/19/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Arthur Joseph Kennedy | 1535092 | 1 | 03/18/2009 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| James W Adams | 4358121 | 1 | 03/13/2009 | Customer Dispute | Denied | $45,000.00 | $0.00 | See FINRA Report |
| Leland Brian McDonough | 327003 | 1 | 03/12/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Nathan Louis Karras | 264588 | 5 | 03/10/2009 | Customer Dispute | Denied | $75,000.00 | $0.00 | See FINRA Report |
| Russell William May | 3114826 | 1 | 03/06/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Joseph Paul Moceri | 1001854 | 1 | 03/06/2009 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |
| Richard T Cochran | 49377 | 4 | 03/05/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |