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 |
|---|---|---|---|---|---|---|---|---|
| Clay Harrison Evans | 2981775 | 2 | 06/04/2007 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Marc Stuart Cohen | 50025 | 2 | 04/27/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Saul Minker | 336377 | 8 | 04/09/2007 | Customer Dispute | Settled | $92,090.60 | $0.00 | See FINRA Report |
| Robert David Traitz | 1158088 | 5 | 03/15/2007 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| James Robert Alguire | 1883792 | 1 | 03/07/2007 | Customer Dispute | Denied | $404,906.00 | $0.00 | See FINRA Report |
| William Bradford Jolly | 1154667 | 1 | 03/07/2007 | Customer Dispute | Denied | $404,906.00 | $0.00 | See FINRA Report |
| Jonathan Craig Cherkas | 2489595 | 3 | 02/19/2007 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Donald A Debiase | 2237671 | 1 | 02/16/2007 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Andrew Jay Lieb | 1743017 | 1 | 02/07/2007 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Jeffrey Allen Anderson | 2027908 | 3 | 02/05/2007 | Customer Dispute | Settled | $26,000.00 | $0.00 | See FINRA Report |