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 |
|---|---|---|---|---|---|---|---|---|
| David Bennett Woffindin | 817560 | 4 | 08/17/1999 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Jeffrey Robert Gordon | 1635949 | 12 | 07/06/1999 | Customer Dispute | Denied | $9,720.00 | $0.00 | See FINRA Report |
| Brad Lee Braunberger | 1160265 | 1 | 07/06/1999 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| Jeffrey Steven Kramer | 1014174 | 2 | 05/24/1999 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| James Anton Thorstad | 1300560 | 1 | 05/24/1999 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Milton J Smylie Jr | 429435 | 3 | 05/19/1999 | Customer Dispute | Denied | $58,500.00 | $0.00 | See FINRA Report |
| Eric Edward Davidge | 2117519 | 1 | 05/05/1999 | Customer Dispute | Denied | $184,994.00 | $0.00 | See FINRA Report |
| Robert Douglas Sullivan | 1332934 | 4 | 04/22/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Marc Stuart Cohen | 50025 | 2 | 04/14/1999 | Customer Dispute | Denied | $23,561.00 | $0.00 | See FINRA Report |
| Robert Douglas Sullivan | 1332934 | 4 | 04/14/1999 | Customer Dispute | Denied | $88,125.00 | $0.00 | See FINRA Report |