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 |
|---|---|---|---|---|---|---|---|---|
| Carl Willert | 4638284 | 1 | 03/04/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher Douglas Romney | 1499192 | 2 | 03/04/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Robino | 2455284 | 1 | 03/03/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Virginia K Panjvani | 833818 | 1 | 02/28/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Patrick Michael Hoch | 1557481 | 3 | 02/04/2008 | Customer Dispute | Denied | $23,500.00 | $0.00 | See FINRA Report |
| Robert Craig Shirley | 2021090 | 5 | 01/22/2008 | Customer Dispute | Settled | $165,790.00 | $0.00 | See FINRA Report |
| Ari Jordan Spar | 2274289 | 2 | 01/21/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Tana Marie Reich | 2969966 | 4 | 01/14/2008 | Customer Dispute | Settled | $12,000.00 | $0.00 | See FINRA Report |
| James Dustin Curbow | 2774398 | 1 | 12/12/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Anthony Coates | 2341264 | 1 | 12/05/2007 | Customer Dispute | Denied | $129,000.00 | $0.00 | See FINRA Report |