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 |
|---|---|---|---|---|---|---|---|---|
| Nancy Martin Dotson | 2224291 | 3 | 07/13/2006 | Customer Dispute | Denied | $103,000.00 | $0.00 | See FINRA Report |
| Larry Rust Toole | 1533007 | 6 | 06/26/2006 | Customer Dispute | Settled | $140,558.00 | $0.00 | See FINRA Report |
| David Henry Gilchrist | 2506266 | 1 | 06/05/2006 | Customer Dispute | Settled | $1,050,000.00 | $0.00 | See FINRA Report |
| Loy Loraine Gotham | 1408565 | 3 | 05/19/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey John Kartheiser | 1360201 | 4 | 05/04/2006 | Customer Dispute | Denied | $66,567.00 | $0.00 | See FINRA Report |
| David Allen Goldman | 1691328 | 1 | 05/04/2006 | Customer Dispute | Denied | $42,000.00 | $0.00 | See FINRA Report |
| Mark Wayne Severson | 1280938 | 5 | 05/01/2006 | Customer Dispute | Settled | $5,200.00 | $0.00 | See FINRA Report |
| Richard Albert Bonnette | 1561248 | 7 | 05/01/2006 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Allen Anderson | 2027908 | 3 | 04/25/2006 | Customer Dispute | Denied | $22,500.00 | $0.00 | See FINRA Report |
| Evan Rohrbough | 1248560 | 2 | 04/21/2006 | Customer Dispute | Closed-No Action | $75,000.00 | $0.00 | See FINRA Report |