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 |
|---|---|---|---|---|---|---|---|---|
| Marc Efram Sukoneck | 2922106 | 6 | 03/04/2009 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Bryan Keith Person | 2456838 | 3 | 02/27/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Michael Arthur | 703729 | 3 | 02/25/2009 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Rodney Bryan Miller | 1901086 | 1 | 02/25/2009 | Customer Dispute | Denied | $80,000.00 | $0.00 | See FINRA Report |
| Kenneth David Miller | 1025721 | 3 | 02/23/2009 | Customer Dispute | Denied | $97,376.30 | $0.00 | See FINRA Report |
| Christopher Vanhorn | 1833268 | 1 | 02/23/2009 | Customer Dispute | Denied | $80,000.00 | $0.00 | See FINRA Report |
| Gary Martin Bice | 1121687 | 1 | 02/21/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Perry James Wright | 2710239 | 1 | 02/18/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Robert Gordon | 1635949 | 12 | 02/17/2009 | Customer Dispute | Settled | $25,948.00 | $0.00 | See FINRA Report |
| Stephen Gerard Mosca | 2031740 | 5 | 02/17/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |