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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Anthony Musolino | 4860366 | 1 | 02/01/2007 | Customer Dispute | Settled | $26,552.60 | $0.00 | See FINRA Report |
| G Thomas Parry | 1259983 | 3 | 01/31/2007 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Douglas Charles Houtz | 1934295 | 4 | 12/26/2006 | Customer Dispute | Settled | $23,291.00 | $0.00 | See FINRA Report |
| Ronald Cameron Short | 1677835 | 1 | 11/29/2006 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Kenneth Edward Chapin | 1052210 | 5 | 11/10/2006 | Customer Dispute | Settled | $328,696.00 | $0.00 | See FINRA Report |
| John Joseph Nelson | 5068331 | 1 | 10/19/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher Merl Johnson | 1080876 | 6 | 08/24/2006 | Customer Dispute | Settled | $230,500.00 | $0.00 | See FINRA Report |
| Cynthia Kelly Agnes | 4244827 | 1 | 08/08/2006 | Customer Dispute | Denied | $13,000.00 | $0.00 | See FINRA Report |
| David Bruce Holz | 2488092 | 5 | 08/07/2006 | Customer Dispute | Withdrawn | $7,593.00 | $0.00 | See FINRA Report |
| Leonard Stagnitti | 2137093 | 1 | 07/21/2006 | Customer Dispute | Denied | $7,105.75 | $0.00 | See FINRA Report |