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 |
|---|---|---|---|---|---|---|---|---|
| Patrick James David | 2445832 | 1 | 06/10/2008 | Customer Dispute | Settled | $2,500,000.00 | $0.00 | See FINRA Report |
| Kevyn Francine Schroeder | 1258868 | 1 | 06/05/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas Charles Nagel | 2575058 | 2 | 05/30/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas Charles Nagel | 2575058 | 2 | 05/30/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mary Carruthers | 1240374 | 4 | 05/29/2008 | Customer Dispute | Settled | $42,000.00 | $0.00 | See FINRA Report |
| Cynthia Marie Wren-Burke | 2414036 | 1 | 05/27/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kenneth John Meixner | 2578726 | 2 | 05/13/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert David Cohen | 1162192 | 6 | 05/07/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Aaron B Capan | 4886365 | 1 | 05/05/2008 | Customer Dispute | Denied | $5,500.00 | $0.00 | See FINRA Report |
| Theodore Michael Sanders | 1660986 | 5 | 05/02/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |