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FINRA Broker Disclosures for Stifel, Nicolaus & Company, Incorporated

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.

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Displaying 941-950 out of 1,211 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Michael Andrew Mulhaul1009370701/29/2001Customer DisputeDenied$30,000.00$0.00See FINRA Report
Harold Robert Sorley2222994101/08/2001Customer DisputeClosed-No Action$115,000.00$0.00See FINRA Report
Robert Edward Vanes1579918101/03/2001Customer DisputeSettled$25,000.00$0.00See FINRA Report
William Robert Mielke1219765601/03/2001Customer DisputeSettled$36,043.00$0.00See FINRA Report
Theodore Andrew Sinal425030101/02/2001Customer DisputeDenied$0.00$0.00See FINRA Report
Charles Crawford Shimer2147235112/28/2000Customer DisputeDenied$0.00$0.00See FINRA Report
Paul Tomas Dellisola2269616212/08/2000Customer DisputeSettled$1,159,190.00$0.00See FINRA Report
Christopher Rawlings Larkey2258760112/05/2000Customer DisputeSettled$1,000,000.00$0.00See FINRA Report
Vann Irvin Doyle1840866111/14/2000Customer DisputeSettled$0.00$0.00See FINRA Report
Larry Howard Lehrman2066962210/24/2000Customer DisputeDenied$0.00$0.00See FINRA Report

1,211 Results

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