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 |
|---|---|---|---|---|---|---|---|---|
| Randall Kent Minas | 821449 | 6 | 01/08/2003 | Customer Dispute | Closed-No Action | $240,000.00 | $0.00 | See FINRA Report |
| Randall Kent Minas | 821449 | 6 | 01/08/2003 | Customer Dispute | Closed-No Action | $19,498.00 | $0.00 | See FINRA Report |
| John Joseph Calaman | 844749 | 3 | 01/08/2003 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Daniel Edward Dill | 736761 | 6 | 01/06/2003 | Customer Dispute | Settled | $448,771.00 | $0.00 | See FINRA Report |
| Jack Linzy Ransom | 2473427 | 1 | 01/02/2003 | Customer Dispute | Closed-No Action | $25,000.00 | $0.00 | See FINRA Report |
| Craig Michael Bentley | 3241519 | 3 | 12/30/2002 | Customer Dispute | Denied | $86,000.00 | $0.00 | See FINRA Report |
| Grant Goodman Clark | 3176503 | 2 | 12/27/2002 | Customer Dispute | Settled | $422,000.00 | $0.00 | See FINRA Report |
| Roger Lowell Wilkie | 467135 | 8 | 12/23/2002 | Customer Dispute | Denied | $116,000.00 | $0.00 | See FINRA Report |
| Kenneth Edward Chapin | 1052210 | 5 | 12/23/2002 | Customer Dispute | Award / Judgment | $500,000.00 | $239,544.00 | See FINRA Report |
| Howard Raymond Barkley | 1769999 | 1 | 12/20/2002 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |