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 |
|---|---|---|---|---|---|---|---|---|
| Robert William Beck | 1245403 | 10 | 10/21/2003 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |
| Jeffrey Robert Gordon | 1635949 | 12 | 10/13/2003 | Customer Dispute | Settled | $750,000.00 | $0.00 | See FINRA Report |
| Mark Ernest Cissel | 2465318 | 1 | 10/10/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| David Dexter Almquist | 846960 | 1 | 09/29/2003 | Customer Dispute | Settled | $43,950.00 | $0.00 | See FINRA Report |
| James Scott Salmon | 2148545 | 2 | 09/17/2003 | Customer Dispute | Award / Judgment | $0.00 | $103,315.00 | See FINRA Report |
| Timothy Brian Williams | 1965284 | 1 | 09/17/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John L Hage | 2868679 | 1 | 09/03/2003 | Customer Dispute | Closed-No Action | $260,000.00 | $0.00 | See FINRA Report |
| Elizabeth N Borger | 2341551 | 1 | 08/28/2003 | Customer Dispute | Denied | $150,000.00 | $0.00 | See FINRA Report |
| Cynthia Elaine Touchton | 2381833 | 2 | 08/18/2003 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| William Robert Mielke | 1219765 | 6 | 08/13/2003 | Customer Dispute | Settled | $333,000.00 | $0.00 | See FINRA Report |