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 |
|---|---|---|---|---|---|---|---|---|
| Barksdale Jordan | 860428 | 2 | 04/05/2006 | Customer Dispute | Settled | $73,000.00 | $0.00 | See FINRA Report |
| Keith Allen Walker | 2888577 | 4 | 03/17/2006 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jonathan Harry Siegel | 1771891 | 2 | 03/03/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Danny Lee Stockton | 1944847 | 2 | 02/07/2006 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Vincent James Benvenuto | 1690424 | 2 | 01/25/2006 | Customer Dispute | Settled | $22,591.40 | $0.00 | See FINRA Report |
| Randolph Jerry Sinz | 707317 | 2 | 12/23/2005 | Customer Dispute | Settled | $94,435.00 | $0.00 | See FINRA Report |
| Andrew Kaye Klinger | 1974398 | 6 | 12/21/2005 | Customer Dispute | Settled | $5,001.00 | $0.00 | See FINRA Report |
| Roxanne Young Bryant | 1215522 | 2 | 12/01/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Bennett Woffindin | 817560 | 4 | 11/30/2005 | Customer Dispute | Settled | $86,651.00 | $0.00 | See FINRA Report |
| Soll Marc Goldenthal | 1134431 | 1 | 11/15/2005 | Customer Dispute | Denied | $16,000.00 | $0.00 | See FINRA Report |