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 George Rix | 3089093 | 1 | 03/05/2003 | Customer Dispute | Pending | $11,500.00 | $0.00 | See FINRA Report |
| Robert James Debeer | 1223684 | 3 | 03/04/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Sarah Palmer Harris | 4017989 | 2 | 02/26/2003 | Customer Dispute | Settled | $8,000.00 | $0.00 | See FINRA Report |
| David Patrick Kurcon | 2519690 | 1 | 02/25/2003 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| John Robert Taylor | 1989525 | 10 | 02/24/2003 | Customer Dispute | Closed-No Action | $68,000.00 | $0.00 | See FINRA Report |
| Jonathan Drew Uffelman | 1342792 | 1 | 02/19/2003 | Customer Dispute | Denied | $600,000.00 | $0.00 | See FINRA Report |
| Alan Carl Wolman | 2006916 | 5 | 02/04/2003 | Customer Dispute | Denied | $156,000.00 | $0.00 | See FINRA Report |
| Todd Addison Haacke | 2435845 | 4 | 01/27/2003 | Customer Dispute | Denied | $13,000.00 | $0.00 | See FINRA Report |
| Steven Lee Goldberg | 2443858 | 1 | 01/27/2003 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| John Robert Westbee | 2270632 | 1 | 01/16/2003 | Customer Dispute | Denied | $38,271.00 | $0.00 | See FINRA Report |