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 |
|---|---|---|---|---|---|---|---|---|
| Michael Duane Gronlund | 1543277 | 1 | 10/19/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Michael Burkarth | 1998509 | 2 | 10/15/2008 | Customer Dispute | Denied | $350,000.00 | $0.00 | See FINRA Report |
| Robert William Beck | 1245403 | 10 | 10/15/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Leonard Eugene Tanner | 442470 | 2 | 10/14/2008 | Customer Dispute | Denied | $181,956.00 | $0.00 | See FINRA Report |
| Mark Anthony Otten | 2232863 | 1 | 10/14/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jerry Michael Heine | 860181 | 3 | 10/13/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kishen Michael Mahendra | 4359041 | 1 | 10/09/2008 | Customer Dispute | Closed-No Action | $300,000.00 | $0.00 | See FINRA Report |
| David Saul Minker | 336377 | 8 | 10/08/2008 | Customer Dispute | Settled | $99,000.00 | $0.00 | See FINRA Report |
| Robert Craig Shirley | 2021090 | 5 | 10/06/2008 | Customer Dispute | Settled | $9,645.00 | $0.00 | See FINRA Report |
| Jesse Lee Wright | 5065529 | 3 | 10/02/2008 | Customer Dispute | Denied | $50,768.70 | $0.00 | See FINRA Report |