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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Jay Cohen | 2528898 | 4 | 10/18/2002 | Customer Dispute | Award / Judgment | $452,000.00 | $46,640.00 | See FINRA Report |
| Jeffrey John Kartheiser | 1360201 | 4 | 10/18/2002 | Customer Dispute | Denied | $43,312.60 | $0.00 | See FINRA Report |
| Thomas Meredith Bolton | 1398115 | 3 | 10/16/2002 | Customer Dispute | Closed-No Action | $300,000.00 | $0.00 | See FINRA Report |
| Taylor Edward Browman | 734371 | 4 | 10/08/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ron A Josey | 2588031 | 1 | 09/30/2002 | Customer Dispute | Award / Judgment | $250,000.00 | $139,732.00 | See FINRA Report |
| David Saul Mann | 1008052 | 3 | 09/26/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Andrew John Foster | 2995537 | 2 | 09/06/2002 | Customer Dispute | Settled | $110,000.00 | $0.00 | See FINRA Report |
| David Christopher Johnson | 1991393 | 2 | 09/04/2002 | Customer Dispute | Denied | $16,500.00 | $0.00 | See FINRA Report |
| Bruce Allen Edelsohn | 1637823 | 1 | 09/04/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Raymond Dean Martin | 2779690 | 3 | 09/02/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |