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 |
|---|---|---|---|---|---|---|---|---|
| Keith Edwin Downard | 859799 | 2 | 08/12/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas David Thomson | 1492592 | 3 | 08/12/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Steven Jay Jefferis | 709139 | 2 | 07/31/2009 | Customer Dispute | Denied | $125,000.00 | $0.00 | See FINRA Report |
| Edward Adams Ferguson | 2465791 | 2 | 07/29/2009 | Customer Dispute | Denied | $175,000.00 | $0.00 | See FINRA Report |
| Elliott Katz | 839300 | 3 | 07/20/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Craig Raymond Slosson | 2309459 | 1 | 07/14/2009 | Customer Dispute | Denied | $133,000.00 | $0.00 | See FINRA Report |
| Michael Orvin Nimmo | 868097 | 1 | 07/06/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Scott William Coffee | 1967361 | 1 | 07/01/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Larry Rust Toole | 1533007 | 6 | 06/18/2009 | Customer Dispute | Denied | $75,000.00 | $0.00 | See FINRA Report |
| Scott S Webb | 4227092 | 2 | 06/11/2009 | Customer Dispute | Denied | $12,068.00 | $0.00 | See FINRA Report |