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 |
|---|---|---|---|---|---|---|---|---|
| Tamie R Austin | 1038599 | 1 | 02/12/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Lebaron Springer | 2535792 | 3 | 02/09/2009 | Customer Dispute | Settled | $445,000.00 | $0.00 | See FINRA Report |
| Douglas Edward Getzke | 1998144 | 3 | 02/09/2009 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Jeffrey Robert Gordon | 1635949 | 12 | 02/05/2009 | Customer Dispute | Denied | $27,440.00 | $0.00 | See FINRA Report |
| Gregory Stuart Young | 1310731 | 1 | 01/26/2009 | Customer Dispute | Settled | $311,848.00 | $0.00 | See FINRA Report |
| Robert William Voorhees | 4505028 | 3 | 01/22/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Louis Okun | 351789 | 3 | 01/22/2009 | Customer Dispute | Denied | $800,000.00 | $0.00 | See FINRA Report |
| Robert Louis Rosenberg | 2669522 | 3 | 01/20/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas Joseph Cotrone | 1591297 | 3 | 01/15/2009 | Customer Dispute | Settled | $31,699.00 | $0.00 | See FINRA Report |
| Timm Brian Schreiber | 4401359 | 1 | 01/08/2009 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |