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 William Donaldson | 2165150 | 1 | 07/17/2002 | Customer Dispute | Denied | $549,000.00 | $0.00 | See FINRA Report |
| Tana Marie Reich | 2969966 | 4 | 07/16/2002 | Customer Dispute | Closed-No Action | $10,248.60 | $0.00 | See FINRA Report |
| Stephen Gerard Mosca | 2031740 | 5 | 07/10/2002 | Customer Dispute | Closed-No Action | $8,000.00 | $0.00 | See FINRA Report |
| Taylor Edward Browman | 734371 | 4 | 07/05/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Todd Addison Haacke | 2435845 | 4 | 07/01/2002 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| James Franklin Bernard | 2550802 | 5 | 06/27/2002 | Customer Dispute | Award / Judgment | $250,000.00 | $130,500.00 | See FINRA Report |
| William Gust Koriath | 716077 | 1 | 06/26/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Barry Devan Gangwer | 822579 | 1 | 06/26/2002 | Customer Dispute | Closed-No Action | $235,000.00 | $0.00 | See FINRA Report |
| James Byron Tennill | 3145315 | 1 | 06/26/2002 | Customer Dispute | Settled | $181,752.00 | $0.00 | See FINRA Report |
| Deborah L Rossi | 1985208 | 1 | 06/13/2002 | Customer Dispute | Denied | $185,000.00 | $0.00 | See FINRA Report |