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 |
|---|---|---|---|---|---|---|---|---|
| Richard T Cochran | 49377 | 4 | 03/05/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Rodney Bryan Miller | 1901086 | 1 | 02/25/2009 | Customer Dispute | Denied | $80,000.00 | $0.00 | See FINRA Report |
| Kenneth David Miller | 1025721 | 3 | 02/23/2009 | Customer Dispute | Denied | $97,376.30 | $0.00 | See FINRA Report |
| Christopher Vanhorn | 1833268 | 1 | 02/23/2009 | Customer Dispute | Denied | $80,000.00 | $0.00 | See FINRA Report |
| Stephen Gerard Mosca | 2031740 | 5 | 02/17/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Tamie R Austin | 1038599 | 1 | 02/12/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Robert Gordon | 1635949 | 12 | 02/05/2009 | Customer Dispute | Denied | $27,440.00 | $0.00 | See FINRA Report |
| Robert William Voorhees | 4505028 | 3 | 01/22/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Louis Okun | 351789 | 3 | 01/22/2009 | Customer Dispute | Denied | $800,000.00 | $0.00 | See FINRA Report |
| Daniel G Raupp | 1971043 | 3 | 01/08/2009 | Customer Dispute | Denied | $47,798.60 | $0.00 | See FINRA Report |