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 |
|---|---|---|---|---|---|---|---|---|
| Leonard Eugene Tanner | 442470 | 2 | 10/14/2008 | Customer Dispute | Denied | $181,956.00 | $0.00 | See FINRA Report |
| Mark Anthony Otten | 2232863 | 1 | 10/14/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jerry Michael Heine | 860181 | 3 | 10/13/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jesse Lee Wright | 5065529 | 3 | 10/02/2008 | Customer Dispute | Denied | $50,768.70 | $0.00 | See FINRA Report |
| Gary Lee Tibbs | 1774870 | 1 | 09/30/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert William Beck | 1245403 | 10 | 09/30/2008 | Customer Dispute | Denied | $90,320.00 | $0.00 | See FINRA Report |
| Morton Elwood Wolverton | 1916382 | 8 | 09/29/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Charles de Sola Morris | 873990 | 1 | 09/25/2008 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Robert William Beck | 1245403 | 10 | 09/25/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert William Beck | 1245403 | 10 | 09/22/2008 | Customer Dispute | Denied | $60,774.30 | $0.00 | See FINRA Report |