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 |
|---|---|---|---|---|---|---|---|---|
| Harold Dudley Shollmier | 2932814 | 2 | 12/03/2001 | Customer Dispute | Denied | $5,709.83 | $0.00 | See FINRA Report |
| Daniel Edward Dill | 736761 | 6 | 11/26/2001 | Customer Dispute | Settled | $3,300,000.00 | $0.00 | See FINRA Report |
| Nathan Louis Karras | 264588 | 5 | 11/21/2001 | Customer Dispute | Settled | $381,250.00 | $0.00 | See FINRA Report |
| Richard Stephen Murphy | 343399 | 1 | 11/02/2001 | Customer Dispute | Award / Judgment | $24,900,000.00 | $704,036.00 | See FINRA Report |
| Steven Arthur Bullard | 1628985 | 2 | 11/01/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Wayne Deloss Breyfogle | 840373 | 1 | 10/29/2001 | Customer Dispute | Denied | $9,077.20 | $0.00 | See FINRA Report |
| Thomas Meredith Bolton | 1398115 | 3 | 10/26/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael William Armon | 869408 | 1 | 10/24/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert William Beck | 1245403 | 10 | 10/24/2001 | Customer Dispute | Closed-No Action | $10,688.20 | $0.00 | See FINRA Report |
| Robert Ratcliffe Heinze | 2574199 | 2 | 10/18/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |