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 |
|---|---|---|---|---|---|---|---|---|
| Steven Michael Chmara | 2573345 | 1 | 05/15/2004 | Customer Dispute | Denied | $18,000.00 | $0.00 | See FINRA Report |
| Norman Martin Fishbein | 208493 | 3 | 04/20/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Perry Evan Fishbein | 2202636 | 2 | 04/20/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Bryan Keith Person | 2456838 | 3 | 04/19/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Lynn Mitchell | 1523211 | 5 | 04/19/2004 | Customer Dispute | Denied | $19,000.00 | $0.00 | See FINRA Report |
| Martin Allen Stevens | 1804469 | 7 | 04/05/2004 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Eugene Butler Carter | 828813 | 1 | 04/05/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gregory John Carlson | 1839032 | 2 | 04/01/2004 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| John Mark Holliday | 2773162 | 2 | 04/01/2004 | Customer Dispute | Settled | $800,000.00 | $0.00 | See FINRA Report |
| John Robert Carpenter | 2693859 | 1 | 04/01/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |