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 |
|---|---|---|---|---|---|---|---|---|
| Francine Lee Frechter | 1224323 | 3 | 03/11/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert William Price | 367772 | 2 | 03/05/2004 | Customer Dispute | Withdrawn | $20,078.40 | $0.00 | See FINRA Report |
| Steven Nan Gwon | 1249487 | 3 | 03/04/2004 | Customer Dispute | Settled | $2,300,000.00 | $0.00 | See FINRA Report |
| William Allen Pritchard | 1847197 | 1 | 03/01/2004 | Customer Dispute | Denied | $11,360.00 | $0.00 | See FINRA Report |
| Thomas Phillip Brown | 715699 | 1 | 02/27/2004 | Customer Dispute | Settled | $93,311.50 | $0.00 | See FINRA Report |
| Steven Wayne Jackson | 2942390 | 1 | 02/18/2004 | Customer Dispute | Denied | $6,807.70 | $0.00 | See FINRA Report |
| Daniel Long | 1968926 | 2 | 02/17/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Frederick Scott Witham | 2543799 | 2 | 02/04/2004 | Customer Dispute | Denied | $89,000.00 | $0.00 | See FINRA Report |
| Nancy Martin Dotson | 2224291 | 3 | 02/03/2004 | Customer Dispute | Settled | $165,000.00 | $0.00 | See FINRA Report |
| Robert Barrett Boatner | 2735390 | 1 | 01/22/2004 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |