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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Alan Bevan | 2736907 | 1 | 06/24/2005 | Customer Dispute | Denied | $11,000.00 | $0.00 | See FINRA Report |
| Morton Elwood Wolverton | 1916382 | 8 | 06/20/2005 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Thomas Ray Schmidt | 1345358 | 1 | 06/03/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Nancy Martin Dotson | 2224291 | 3 | 05/25/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Paul Joseph Delongis | 1053118 | 2 | 05/24/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Paul Kim | 4219593 | 3 | 04/22/2005 | Customer Dispute | Withdrawn | $25,988.00 | $0.00 | See FINRA Report |
| Matthew Benjamin Waldman | 2590280 | 3 | 04/22/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Melissa Futch | 1422380 | 2 | 04/22/2005 | Customer Dispute | Denied | $26,000.00 | $0.00 | See FINRA Report |
| Larry Rust Toole | 1533007 | 6 | 04/21/2005 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| Roxanne Young Bryant | 1215522 | 2 | 04/15/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |