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 Halbert Lansden | 2384906 | 3 | 08/14/2008 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| David Saul Minker | 336377 | 8 | 08/14/2008 | Customer Dispute | Settled | $149,000.00 | $0.00 | See FINRA Report |
| Kevin Daer Reich | 4713249 | 2 | 08/12/2008 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Thomas Phillip Laporte | 829039 | 3 | 08/11/2008 | Customer Dispute | Denied | $56,663.70 | $0.00 | See FINRA Report |
| Marie Helene Steinman | 4777243 | 5 | 08/07/2008 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| David Jay Lowi | 2512923 | 3 | 07/31/2008 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Jeffrey Donald Green | 2346543 | 1 | 07/31/2008 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Matthew Edward Eccles | 1601077 | 1 | 07/31/2008 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Michele Huff Powell | 2219756 | 2 | 07/29/2008 | Customer Dispute | Settled | $9,000,000.00 | $0.00 | See FINRA Report |
| Theodore Michael Sanders | 1660986 | 5 | 07/24/2008 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |