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 |
|---|---|---|---|---|---|---|---|---|
| Jeremy Bradford Duck | 2385208 | 1 | 04/13/2005 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| John Chris Kamkutis | 2279395 | 1 | 04/11/2005 | Customer Dispute | Denied | $18,067.00 | $0.00 | See FINRA Report |
| Thomas Alan Eisenstadt | 1230599 | 3 | 03/25/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Randy William Seymour | 2307497 | 1 | 03/08/2005 | Customer Dispute | Settled | $17,191.00 | $0.00 | See FINRA Report |
| Patrick Francis Sinclair | 1007163 | 2 | 03/07/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Robert Gordon | 1635949 | 12 | 02/15/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Danny Kay Davis | 853374 | 2 | 02/09/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Noah Jacobson | 2389235 | 2 | 02/01/2005 | Customer Dispute | Settled | $99,000.00 | $0.00 | See FINRA Report |
| Michael Neal Rosenthal | 2408661 | 3 | 01/18/2005 | Customer Dispute | Settled | $492,398.00 | $0.00 | See FINRA Report |
| Robert Louis Rosenberg | 2669522 | 3 | 12/01/2004 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |