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 |
|---|---|---|---|---|---|---|---|---|
| John Mark Cash | 2870741 | 2 | 02/10/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Leslie Christopher Quick | 4810736 | 1 | 12/28/2011 | Customer Dispute | Denied | $956,000.00 | $0.00 | See FINRA Report |
| Scott Allen Measner | 2730240 | 2 | 12/28/2011 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| James John Garcia | 1001147 | 2 | 11/29/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Leonard Ernest Weyeneth | 2608408 | 1 | 05/11/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Matthew John Hickey | 4989648 | 2 | 02/18/2011 | Customer Dispute | Denied | $29,329.00 | $0.00 | See FINRA Report |
| Mark Wayne Severson | 1280938 | 5 | 12/16/2010 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Evan Rohrbough | 1248560 | 2 | 12/10/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Ward Silverman | 1915352 | 2 | 11/15/2010 | Customer Dispute | Denied | $52,262.00 | $0.00 | See FINRA Report |
| Manuel David Lozano | 1004483 | 9 | 07/16/2010 | Customer Dispute | Denied | $750,000.00 | $0.00 | See FINRA Report |