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 |
|---|---|---|---|---|---|---|---|---|
| Floyd Joseph Carl | 1629287 | 1 | 08/12/2002 | Customer Dispute | Denied | $31,500.00 | $0.00 | See FINRA Report |
| John William Donaldson | 2165150 | 1 | 07/17/2002 | Customer Dispute | Denied | $549,000.00 | $0.00 | See FINRA Report |
| Taylor Edward Browman | 734371 | 4 | 07/05/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Deborah L Rossi | 1985208 | 1 | 06/13/2002 | Customer Dispute | Denied | $185,000.00 | $0.00 | See FINRA Report |
| Douglas Charles Houtz | 1934295 | 4 | 06/13/2002 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| John Carroll Prebay | 2286389 | 2 | 06/12/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Malcolm Graham Bourne | 1562435 | 5 | 05/17/2002 | Customer Dispute | Denied | $350,000.00 | $0.00 | See FINRA Report |
| Bryan Keith Person | 2456838 | 3 | 03/27/2002 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Michael Alan Leclair | 1544775 | 1 | 03/27/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Harold Dudley Shollmier | 2932814 | 2 | 03/19/2002 | Customer Dispute | Denied | $280,000.00 | $0.00 | See FINRA Report |