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 Dwayne Westerfeld | 2377270 | 1 | 12/28/2012 | Customer Dispute | Denied | $37,325.40 | $0.00 | See FINRA Report |
| Joseph Depasqua | 1202978 | 2 | 10/31/2012 | Customer Dispute | Denied | $300,397.00 | $0.00 | See FINRA Report |
| Stacy Rodbell | 1488157 | 1 | 10/01/2012 | Customer Dispute | Denied | $5,278,370.00 | $0.00 | See FINRA Report |
| Alan Leroy Olsen | 1346852 | 1 | 09/24/2012 | Customer Dispute | Denied | $44,000.00 | $0.00 | See FINRA Report |
| Kenneth S Alter | 2147698 | 6 | 08/24/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kenneth S Alter | 2147698 | 6 | 08/20/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Rosario Joseph Petrizzo | 1018665 | 3 | 08/07/2012 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Elizabeth Andrea Allen | 2789883 | 1 | 07/25/2012 | Customer Dispute | Denied | $7,914.39 | $0.00 | See FINRA Report |
| Rahn Stuart Lund | 1462843 | 3 | 06/28/2012 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Steven Danieli | 1095496 | 5 | 05/23/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |