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 |
---|---|---|---|---|---|---|---|---|
Michael Andrew Mulhaul | 1009370 | 7 | 01/29/2001 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
Harold Robert Sorley | 2222994 | 1 | 01/08/2001 | Customer Dispute | Closed-No Action | $115,000.00 | $0.00 | See FINRA Report |
Robert Edward Vanes | 1579918 | 1 | 01/03/2001 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
William Robert Mielke | 1219765 | 6 | 01/03/2001 | Customer Dispute | Settled | $36,043.00 | $0.00 | See FINRA Report |
Theodore Andrew Sinal | 425030 | 1 | 01/02/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
Charles Crawford Shimer | 2147235 | 1 | 12/28/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
Paul Tomas Dellisola | 2269616 | 2 | 12/08/2000 | Customer Dispute | Settled | $1,159,190.00 | $0.00 | See FINRA Report |
Christopher Rawlings Larkey | 2258760 | 1 | 12/05/2000 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
Vann Irvin Doyle | 1840866 | 1 | 11/14/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
Larry Howard Lehrman | 2066962 | 2 | 10/24/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |