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 |
|---|---|---|---|---|---|---|---|---|
| Matthew Fredrick Neis | 2128123 | 1 | 04/30/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Raymond Dean Martin | 2779690 | 3 | 04/30/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Douglas Charles Houtz | 1934295 | 4 | 04/23/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Marie Helene Steinman | 4777243 | 5 | 04/23/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Vicki Elaine Cherry | 1542081 | 3 | 04/22/2008 | Customer Dispute | Denied | $43,627.50 | $0.00 | See FINRA Report |
| Theodore Michael Sanders | 1660986 | 5 | 04/22/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Andrew Warren Rifkin | 867753 | 2 | 04/22/2008 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Craig Allen Herrington | 1390750 | 1 | 04/16/2008 | Customer Dispute | Closed-No Action | $65,000.00 | $0.00 | See FINRA Report |
| Marie Helene Steinman | 4777243 | 5 | 04/15/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Larry Charles Au | 4741780 | 1 | 04/11/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |