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 |
|---|---|---|---|---|---|---|---|---|
| Michael Andrew Mulhaul | 1009370 | 7 | 01/29/2001 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Theodore Andrew Sinal | 425030 | 1 | 01/02/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Charles Crawford Shimer | 2147235 | 1 | 12/28/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Larry Howard Lehrman | 2066962 | 2 | 10/24/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Richard Francis Crosby | 2218181 | 2 | 09/14/2000 | Customer Dispute | Denied | $7,800.00 | $0.00 | See FINRA Report |
| Christopher Joseph Cerniglia | 2152512 | 1 | 09/13/2000 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| William Francis Fusco | 216049 | 1 | 09/06/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Paul Christopher Dietz | 1454592 | 3 | 08/25/2000 | Customer Dispute | Denied | $300,000.00 | $0.00 | See FINRA Report |
| John Robert Taylor | 1989525 | 10 | 07/26/2000 | Customer Dispute | Denied | $6,700.00 | $0.00 | See FINRA Report |
| Kenneth S Alter | 2147698 | 6 | 06/19/2000 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |