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 |
|---|---|---|---|---|---|---|---|---|
| Steven Lee Hagood | 5024796 | 1 | 12/01/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Howard Francis Lewis | 800753 | 1 | 11/28/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Michael Peter Wallace | 1669378 | 2 | 11/26/2008 | Customer Dispute | Denied | $1,500,000.00 | $0.00 | See FINRA Report |
| Christopher Merl Johnson | 1080876 | 6 | 11/17/2008 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Martin Benno Welzmuller | 2417850 | 2 | 11/12/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kevin Daer Reich | 4713249 | 2 | 11/07/2008 | Customer Dispute | Denied | $76,000.00 | $0.00 | See FINRA Report |
| Marie Helene Steinman | 4777243 | 5 | 11/07/2008 | Customer Dispute | Settled | $60,452.90 | $0.00 | See FINRA Report |
| Eric L Moxon | 3076291 | 1 | 11/07/2008 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Gary Lynn Phelps | 2875676 | 1 | 11/06/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Andrew Mulhaul | 1009370 | 7 | 11/05/2008 | Customer Dispute | Denied | $130,000.00 | $0.00 | See FINRA Report |