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 Stuart Newell | 854929 | 1 | 08/28/2007 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| John Hoff Russell | 728702 | 2 | 08/28/2007 | Customer Dispute | Denied | $14,720.50 | $0.00 | See FINRA Report |
| Elliott Katz | 839300 | 3 | 08/22/2007 | Customer Dispute | Closed-No Action | $9,305.00 | $0.00 | See FINRA Report |
| Janice Mary Lucy Montaine | 1071762 | 1 | 08/21/2007 | Customer Dispute | Denied | $5,500.00 | $0.00 | See FINRA Report |
| Robert Sabetai Abraham | 867464 | 1 | 08/13/2007 | Customer Dispute | Settled | $41,062.00 | $0.00 | See FINRA Report |
| Randall Kent Minas | 821449 | 6 | 07/28/2007 | Customer Dispute | Settled | $26,000.00 | $0.00 | See FINRA Report |
| James S Scott Fleck | 1035159 | 1 | 07/23/2007 | Customer Dispute | Denied | $5,283.00 | $0.00 | See FINRA Report |
| Neil Hattem | 862803 | 3 | 07/20/2007 | Customer Dispute | Denied | $5,396.00 | $0.00 | See FINRA Report |
| Joseph Michael Militello | 5029996 | 2 | 07/17/2007 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Sandra Hedstrom Wheeler | 2210090 | 1 | 06/14/2007 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |