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 |
|---|---|---|---|---|---|---|---|---|
| Nancy Martin Dotson | 2224291 | 3 | 07/13/2006 | Customer Dispute | Denied | $103,000.00 | $0.00 | See FINRA Report |
| Jeffrey John Kartheiser | 1360201 | 4 | 05/04/2006 | Customer Dispute | Denied | $66,567.00 | $0.00 | See FINRA Report |
| David Allen Goldman | 1691328 | 1 | 05/04/2006 | Customer Dispute | Denied | $42,000.00 | $0.00 | See FINRA Report |
| Jeffrey Allen Anderson | 2027908 | 3 | 04/25/2006 | Customer Dispute | Denied | $22,500.00 | $0.00 | See FINRA Report |
| Soll Marc Goldenthal | 1134431 | 1 | 11/15/2005 | Customer Dispute | Denied | $16,000.00 | $0.00 | See FINRA Report |
| Alan Jeffrey Cohen | 1465867 | 4 | 10/31/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Andrew Mulhaul | 1009370 | 7 | 10/17/2005 | Customer Dispute | Denied | $51,000.00 | $0.00 | See FINRA Report |
| Kenneth S Alter | 2147698 | 6 | 09/29/2005 | Customer Dispute | Denied | $85,000.00 | $0.00 | See FINRA Report |
| Milton J Smylie Jr | 429435 | 3 | 08/30/2005 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| John Mark Cash | 2870741 | 2 | 08/23/2005 | Customer Dispute | Denied | $14,600.00 | $0.00 | See FINRA Report |