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 |
|---|---|---|---|---|---|---|---|---|
| David Michael Irish | 2073136 | 1 | 10/11/2001 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Daniel Edward Dill | 736761 | 6 | 10/11/2001 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |
| Andrew John Foster | 2995537 | 2 | 10/08/2001 | Customer Dispute | Denied | $22,000.00 | $0.00 | See FINRA Report |
| Kevin Brian Lyall | 2970073 | 2 | 10/04/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert E Maloney | 825047 | 1 | 09/26/2001 | Customer Dispute | Denied | $222,347.00 | $0.00 | See FINRA Report |
| James Scott Salmon | 2148545 | 2 | 09/10/2001 | Customer Dispute | Award / Judgment | $60,000.00 | $42,443.00 | See FINRA Report |
| Gregory J Schaller | 4251842 | 2 | 09/07/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Bruce James Loder | 1156379 | 2 | 09/06/2001 | Customer Dispute | Award / Judgment | $175,000.00 | $86,000.00 | See FINRA Report |
| Matthew Robert Naula | 345238 | 3 | 08/25/2001 | Customer Dispute | Denied | $9,147.81 | $0.00 | See FINRA Report |
| Jeffrey Robert Gordon | 1635949 | 12 | 08/10/2001 | Customer Dispute | Settled | $135,000.00 | $0.00 | See FINRA Report |