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 |
|---|---|---|---|---|---|---|---|---|
| Steven Elliot Gottesman | 1500177 | 8 | 01/17/2002 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |
| Richard Albert Bonnette | 1561248 | 7 | 01/17/2002 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| David Earl Long | 1277858 | 1 | 01/07/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Daniel James Statz | 1921163 | 1 | 12/31/2001 | Customer Dispute | Award / Judgment | $313,190.00 | $65,049.60 | See FINRA Report |
| Steven Danieli | 1095496 | 5 | 12/28/2001 | Customer Dispute | Settled | $102,961.00 | $0.00 | See FINRA Report |
| Thomas Joseph Cotrone | 1591297 | 3 | 12/21/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Stephen Boulos | 1282124 | 1 | 12/12/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven Brian Waxgiser | 1585355 | 3 | 12/10/2001 | Customer Dispute | Settled | $900,000.00 | $0.00 | See FINRA Report |
| Jeffrey Dow Tomlinson | 3172891 | 2 | 12/06/2001 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Morton Elwood Wolverton | 1916382 | 8 | 12/05/2001 | Customer Dispute | Award / Judgment | $500,000.00 | $7,456.76 | See FINRA Report |