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 |
|---|---|---|---|---|---|---|---|---|
| Daniel William Carnevale | 41099 | 4 | 11/16/2007 | Customer Dispute | Denied | $21,000.00 | $0.00 | See FINRA Report |
| Christopher William Inglis | 1040321 | 2 | 11/16/2007 | Customer Dispute | Closed-No Action | $37,170.50 | $0.00 | See FINRA Report |
| Corrina Kay Phillips | 2894069 | 1 | 11/14/2007 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John Eric Suess | 1950146 | 2 | 11/08/2007 | Customer Dispute | Closed-No Action | $550,000.00 | $0.00 | See FINRA Report |
| Donny Dwain Vogler | 2001272 | 1 | 10/25/2007 | Customer Dispute | Denied | $45,000.00 | $0.00 | See FINRA Report |
| Phillip Arthur Hamilton | 2257268 | 1 | 10/02/2007 | Customer Dispute | Denied | $36,000.00 | $0.00 | See FINRA Report |
| Brent Lane Baumberger | 2050730 | 2 | 09/19/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Teri Roxanne Wilson | 1113805 | 3 | 09/14/2007 | Customer Dispute | Settled | $750,000.00 | $0.00 | See FINRA Report |
| Suzanne M Marshall | 1203817 | 1 | 09/12/2007 | Customer Dispute | Settled | $14,884.00 | $0.00 | See FINRA Report |
| Larry Dean Watts | 1091948 | 2 | 09/07/2007 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |