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 |
|---|---|---|---|---|---|---|---|---|
| Carl Vincent Tantillo | 3049511 | 1 | 08/06/2004 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Chad Anthony Lojewski | 2690892 | 2 | 08/05/2004 | Customer Dispute | Closed-No Action | $7,000.00 | $0.00 | See FINRA Report |
| Mark M Rossi | 4156636 | 1 | 07/28/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Randall Kent Minas | 821449 | 6 | 07/23/2004 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| William Robert Mielke | 1219765 | 6 | 07/23/2004 | Customer Dispute | Denied | $140,000.00 | $0.00 | See FINRA Report |
| Magay Lyn Shepard | 1449495 | 2 | 07/21/2004 | Customer Dispute | Closed-No Action | $550,000.00 | $0.00 | See FINRA Report |
| David James Altman | 1871039 | 1 | 06/28/2004 | Customer Dispute | Denied | $35,569.00 | $0.00 | See FINRA Report |
| Sarah Palmer Harris | 4017989 | 2 | 06/22/2004 | Customer Dispute | Settled | $230,000.00 | $0.00 | See FINRA Report |
| James Douglas Burney | 825044 | 1 | 06/01/2004 | Customer Dispute | Withdrawn | $11,000.00 | $0.00 | See FINRA Report |
| Richard Albert Bonnette | 1561248 | 7 | 05/26/2004 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |