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 |
|---|---|---|---|---|---|---|---|---|
| Daniel G Raupp | 1971043 | 3 | 01/08/2009 | Customer Dispute | Denied | $47,798.60 | $0.00 | See FINRA Report |
| Christopher Scott Longo | 2071552 | 1 | 01/05/2009 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Douglas Edward Getzke | 1998144 | 3 | 12/30/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Robert David Cohen | 1162192 | 6 | 12/24/2008 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Douglas Edward Getzke | 1998144 | 3 | 12/23/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| John Raymond Lisowski | 1011572 | 2 | 12/23/2008 | Customer Dispute | Denied | $22,000.00 | $0.00 | See FINRA Report |
| Ronald Lee Wruck | 1899306 | 2 | 12/18/2008 | Customer Dispute | Denied | $80,461.20 | $0.00 | See FINRA Report |
| Leonard Whitson Marryott | 2191533 | 2 | 12/11/2008 | Customer Dispute | Denied | $74,360.00 | $0.00 | See FINRA Report |
| Peter Martin Fierro | 1011222 | 3 | 12/05/2008 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Stephen Gerard Mosca | 2031740 | 5 | 12/03/2008 | Customer Dispute | Settled | $6,127.45 | $0.00 | See FINRA Report |