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 |
|---|---|---|---|---|---|---|---|---|
| Patrick Michael Hoch | 1557481 | 3 | 06/13/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Douglas Charles Houtz | 1934295 | 4 | 06/13/2002 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| John Carroll Prebay | 2286389 | 2 | 06/12/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Angelo Capetola | 2847542 | 2 | 05/21/2002 | Customer Dispute | Withdrawn | $600,000.00 | $0.00 | See FINRA Report |
| William Robert Mielke | 1219765 | 6 | 05/20/2002 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Malcolm Graham Bourne | 1562435 | 5 | 05/17/2002 | Customer Dispute | Denied | $350,000.00 | $0.00 | See FINRA Report |
| Steven J Vitale | 2670691 | 1 | 05/02/2002 | Customer Dispute | Settled | $368,835.00 | $0.00 | See FINRA Report |
| Marc Efram Sukoneck | 2922106 | 6 | 04/29/2002 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Richard Elliot Griffler | 858939 | 1 | 04/26/2002 | Customer Dispute | Settled | $45,000.00 | $0.00 | See FINRA Report |
| Ernest Lee Coffindaffer | 1248798 | 1 | 04/12/2002 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |