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 |
|---|---|---|---|---|---|---|---|---|
| Gary Michael Holstine | 1288336 | 1 | 07/22/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gregory Eugene Griffin | 4154665 | 2 | 07/07/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher Merl Johnson | 1080876 | 6 | 06/27/2008 | Customer Dispute | Denied | $90,000.00 | $0.00 | See FINRA Report |
| Robert Ratcliffe Heinze | 2574199 | 2 | 06/24/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Todd Leland Stone | 1423196 | 1 | 06/17/2008 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Joseph Patrick Cushing | 1107532 | 1 | 06/17/2008 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Andrew Warren Rifkin | 867753 | 2 | 06/16/2008 | Customer Dispute | Settled | $8,731.55 | $0.00 | See FINRA Report |
| Christopher Mickey Berg | 2625832 | 1 | 06/11/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Carter Vanstraaten | 5009937 | 1 | 06/11/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph John Mamer | 1368291 | 3 | 06/11/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |