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 |
|---|---|---|---|---|---|---|---|---|
| Michael Chris Nielsen | 2774722 | 1 | 11/23/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Alan Carl Wolman | 2006916 | 5 | 11/16/2004 | Customer Dispute | Closed-No Action | $275,000.00 | $0.00 | See FINRA Report |
| Richard T Cochran | 49377 | 4 | 11/15/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Alan Carl Wolman | 2006916 | 5 | 10/25/2004 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Jerry Michael Heine | 860181 | 3 | 10/21/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Starlitte Chatgnier Townsend | 3278722 | 1 | 10/14/2004 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |
| Samuel V Morse Jr | 2609705 | 2 | 10/14/2004 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |
| Vicki Elaine Cherry | 1542081 | 3 | 10/12/2004 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |
| Magay Lyn Shepard | 1449495 | 2 | 09/29/2004 | Customer Dispute | Closed-No Action | $63,886.00 | $0.00 | See FINRA Report |
| Noah Jacobson | 2389235 | 2 | 08/17/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |