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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Brent Metcalf | 1484448 | 1 | 11/13/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| John Joseph Calaman | 844749 | 3 | 10/30/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Andrew B Woolworth | 4407177 | 2 | 10/30/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Barry Jenkins | 1473998 | 4 | 10/06/2009 | Customer Dispute | Denied | $48,087.00 | $0.00 | See FINRA Report |
| Clark Robert Durham | 1738425 | 2 | 09/22/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Dickinson Linas | 4802084 | 2 | 09/19/2009 | Customer Dispute | Denied | $14,000.00 | $0.00 | See FINRA Report |
| Gregory Scott Risse | 2105292 | 3 | 09/18/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Wong Ark | 1260602 | 1 | 09/04/2009 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Mark Fallon Kregor | 2403684 | 11 | 08/20/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Christopher Thompson | 4631462 | 3 | 08/13/2009 | Customer Dispute | Denied | $35,000.00 | $0.00 | See FINRA Report |