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 Joseph Schulte | 1552185 | 1 | 08/04/2001 | Customer Dispute | Denied | $36,500.00 | $0.00 | See FINRA Report |
| Mark Hemphill Mathisen | 1615086 | 2 | 07/02/2001 | Customer Dispute | Award / Judgment | $20,000.00 | $11,523.30 | See FINRA Report |
| Vincent James Benvenuto | 1690424 | 2 | 06/28/2001 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Lawrence John Connelly | 1021225 | 1 | 06/26/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas William Fox | 2460190 | 1 | 06/14/2001 | Customer Dispute | Settled | $222,000.00 | $0.00 | See FINRA Report |
| Larry Steve Weddle | 1162611 | 2 | 06/04/2001 | Customer Dispute | Denied | $25,247.60 | $0.00 | See FINRA Report |
| Norman William Speight | 1440224 | 1 | 06/01/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kevin Lee Fronek | 2000676 | 1 | 05/31/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Robert Gordon | 1635949 | 12 | 05/29/2001 | Customer Dispute | Denied | $198,166.00 | $0.00 | See FINRA Report |
| William James Sadler | 852633 | 4 | 05/15/2001 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |