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 Nan Gwon | 1249487 | 3 | 05/12/2003 | Customer Dispute | Settled | $3,000,000.00 | $0.00 | See FINRA Report |
| Art Anthony Ignacio | 1620115 | 1 | 05/06/2003 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Richard Albert Bonnette | 1561248 | 7 | 04/29/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark Eugene Hannum | 2056033 | 1 | 04/28/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kurt David Yelle | 2163257 | 1 | 04/16/2003 | Customer Dispute | Closed-No Action | $600,000.00 | $0.00 | See FINRA Report |
| Joseph P Brady | 2225555 | 1 | 04/15/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mary Carruthers | 1240374 | 4 | 03/20/2003 | Customer Dispute | Settled | $187,151.00 | $0.00 | See FINRA Report |
| Michael Doyle Dammert | 2108906 | 3 | 03/19/2003 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Grant Goodman Clark | 3176503 | 2 | 03/14/2003 | Customer Dispute | Withdrawn | $350,000.00 | $0.00 | See FINRA Report |
| John Ralph Lynch | 1351959 | 2 | 03/12/2003 | Customer Dispute | Denied | $120,000.00 | $0.00 | See FINRA Report |