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 |
|---|---|---|---|---|---|---|---|---|
| Patrick Daniel Hayes | 1771991 | 2 | 08/04/2003 | Customer Dispute | Denied | $97,000.00 | $0.00 | See FINRA Report |
| Thomas Meredith Bolton | 1398115 | 3 | 07/28/2003 | Customer Dispute | Settled | $63,727.10 | $0.00 | See FINRA Report |
| Jeffrey Robert Gordon | 1635949 | 12 | 07/28/2003 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Timothy Alexis Johnson | 874358 | 4 | 06/30/2003 | Customer Dispute | Closed-No Action | $19,768.00 | $0.00 | See FINRA Report |
| Robert Craig Shirley | 2021090 | 5 | 06/24/2003 | Customer Dispute | Settled | $235,618.00 | $0.00 | See FINRA Report |
| Ryan D Hancock | 1600522 | 1 | 06/23/2003 | Customer Dispute | Award / Judgment | $0.00 | $278,091.00 | See FINRA Report |
| Morton Elwood Wolverton | 1916382 | 8 | 06/16/2003 | Customer Dispute | Settled | $719,000.00 | $0.00 | See FINRA Report |
| Paul Christopher Dietz | 1454592 | 3 | 06/16/2003 | Customer Dispute | Settled | $1,428,660.00 | $0.00 | See FINRA Report |
| Daniel Edward Dill | 736761 | 6 | 06/04/2003 | Customer Dispute | Settled | $229,256.00 | $0.00 | See FINRA Report |
| Todd Addison Haacke | 2435845 | 4 | 06/03/2003 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |