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 |
|---|---|---|---|---|---|---|---|---|
| Matthew Benjamin Waldman | 2590280 | 3 | 03/21/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Saul Mann | 1008052 | 3 | 03/20/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Alan Jeffrey Cohen | 1465867 | 4 | 03/08/2001 | Customer Dispute | Settled | $313,000.00 | $0.00 | See FINRA Report |
| Roger Lowell Wilkie | 467135 | 8 | 03/04/2001 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Stephen Jay Cohen | 2528898 | 4 | 02/26/2001 | Customer Dispute | Settled | $48,087.00 | $0.00 | See FINRA Report |
| Thomas Leroy Weimer | 824844 | 1 | 02/21/2001 | Customer Dispute | Award / Judgment | $1,166.00 | $583.33 | See FINRA Report |
| Jerome Vance Raders | 2337927 | 3 | 02/21/2001 | Customer Dispute | Award / Judgment | $880,289.00 | $1.00 | See FINRA Report |
| Kevin Charles Murphy | 1016717 | 2 | 02/15/2001 | Customer Dispute | Denied | $21,000.00 | $0.00 | See FINRA Report |
| Steven Arthur Bullard | 1628985 | 2 | 02/12/2001 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| John Robert Taylor | 1989525 | 10 | 02/02/2001 | Customer Dispute | Withdrawn | $15,000.00 | $0.00 | See FINRA Report |