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 |
|---|---|---|---|---|---|---|---|---|
| Frederick Scott Witham | 2543799 | 2 | 02/21/2018 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Scott William MacOlino | 2402121 | 6 | 01/18/2018 | Customer Dispute | Denied | $121,000.00 | $0.00 | See FINRA Report |
| Stephen George Mitchell | 1212258 | 1 | 11/27/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Susan Diane Hills | 4660153 | 1 | 11/14/2017 | Customer Dispute | Denied | $7,700.00 | $0.00 | See FINRA Report |
| Larry Rust Toole | 1533007 | 6 | 09/12/2017 | Customer Dispute | Denied | $211,057.00 | $0.00 | See FINRA Report |
| Martin Allen Stevens | 1804469 | 7 | 08/31/2017 | Customer Dispute | Denied | $249,000.00 | $0.00 | See FINRA Report |
| Patricia Jeannine Tippins | 2283279 | 3 | 08/25/2017 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Manuel David Lozano | 1004483 | 9 | 08/21/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas John Monson | 1123630 | 3 | 06/05/2017 | Customer Dispute | Denied | $52,564.50 | $0.00 | See FINRA Report |
| Adam Saul Frankfort | 1293630 | 2 | 05/31/2017 | Customer Dispute | Denied | $1,000,000.00 | $0.00 | See FINRA Report |