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 |
|---|---|---|---|---|---|---|---|---|
| John Wayne Ridley | 1841554 | 1 | 08/26/2002 | Customer Dispute | Denied | $5,001.00 | $0.00 | See FINRA Report |
| Mark Loren Myers | 1180908 | 2 | 08/23/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William James Sadler | 852633 | 4 | 08/22/2002 | Customer Dispute | Settled | $270,000.00 | $0.00 | See FINRA Report |
| Peter James Nazos | 2093302 | 3 | 08/22/2002 | Customer Dispute | Denied | $21,690.00 | $0.00 | See FINRA Report |
| Scott William MacOlino | 2402121 | 6 | 08/22/2002 | Customer Dispute | Closed-No Action | $641,400.00 | $0.00 | See FINRA Report |
| Kenneth Carl Ramos | 2553426 | 3 | 08/19/2002 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Kenneth Robert Klauber | 1063629 | 1 | 08/13/2002 | Customer Dispute | Settled | $213,000.00 | $0.00 | See FINRA Report |
| Floyd Joseph Carl | 1629287 | 1 | 08/12/2002 | Customer Dispute | Denied | $31,500.00 | $0.00 | See FINRA Report |
| Jerry Michael Heine | 860181 | 3 | 07/29/2002 | Customer Dispute | Settled | $79,000.00 | $0.00 | See FINRA Report |
| Shawn Michael Hertz | 1875185 | 1 | 07/19/2002 | Customer Dispute | Settled | $9,592.00 | $0.00 | See FINRA Report |