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 |
|---|---|---|---|---|---|---|---|---|
| Todd William Miller | 1384291 | 2 | 04/01/2002 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Bryan Keith Person | 2456838 | 3 | 03/27/2002 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Michael Alan Leclair | 1544775 | 1 | 03/27/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas Alan Eisenstadt | 1230599 | 3 | 03/22/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Harold Dudley Shollmier | 2932814 | 2 | 03/19/2002 | Customer Dispute | Denied | $280,000.00 | $0.00 | See FINRA Report |
| Steven Michael Thompson | 1584948 | 2 | 03/14/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Robert Howard Lewit | 1690053 | 1 | 03/08/2002 | Customer Dispute | Denied | $19,539.00 | $0.00 | See FINRA Report |
| Matthew Benjamin Waldman | 2590280 | 3 | 03/06/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Francis Crosby | 2218181 | 2 | 03/05/2002 | Customer Dispute | Denied | $48,000.00 | $0.00 | See FINRA Report |
| William Robert Mielke | 1219765 | 6 | 03/05/2002 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |