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 Hoff Russell | 728702 | 2 | 08/28/2007 | Customer Dispute | Denied | $14,720.50 | $0.00 | See FINRA Report |
| Janice Mary Lucy Montaine | 1071762 | 1 | 08/21/2007 | Customer Dispute | Denied | $5,500.00 | $0.00 | See FINRA Report |
| James S Scott Fleck | 1035159 | 1 | 07/23/2007 | Customer Dispute | Denied | $5,283.00 | $0.00 | See FINRA Report |
| Neil Hattem | 862803 | 3 | 07/20/2007 | Customer Dispute | Denied | $5,396.00 | $0.00 | See FINRA Report |
| Marc Stuart Cohen | 50025 | 2 | 04/27/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Robert Alguire | 1883792 | 1 | 03/07/2007 | Customer Dispute | Denied | $404,906.00 | $0.00 | See FINRA Report |
| William Bradford Jolly | 1154667 | 1 | 03/07/2007 | Customer Dispute | Denied | $404,906.00 | $0.00 | See FINRA Report |
| Ronald Cameron Short | 1677835 | 1 | 11/29/2006 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Cynthia Kelly Agnes | 4244827 | 1 | 08/08/2006 | Customer Dispute | Denied | $13,000.00 | $0.00 | See FINRA Report |
| Leonard Stagnitti | 2137093 | 1 | 07/21/2006 | Customer Dispute | Denied | $7,105.75 | $0.00 | See FINRA Report |