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 |
|---|---|---|---|---|---|---|---|---|
| Richard Henry Thomas | 1012387 | 2 | 04/28/2017 | Customer Dispute | Denied | $20,755.30 | $0.00 | See FINRA Report |
| Philip Bernard Meisel | 1798696 | 1 | 04/07/2017 | Customer Dispute | Denied | $265,396.00 | $0.00 | See FINRA Report |
| Francine Louise Foerst | 1958697 | 2 | 03/06/2017 | Customer Dispute | Denied | $27,000.00 | $0.00 | See FINRA Report |
| Nolan Dudley Baird | 1654510 | 2 | 01/30/2017 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| James Paul Vansteenhuyse | 869350 | 2 | 01/12/2017 | Customer Dispute | Denied | $53,987.00 | $0.00 | See FINRA Report |
| Damien Didier Gerald Caillault | 5533161 | 1 | 01/04/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Peter Charles Birdwell | 6320816 | 1 | 10/18/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Walter Story Twetten | 2645250 | 1 | 08/29/2016 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Asma Mahmood | 4304177 | 1 | 08/09/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Hal William Johnson | 2619098 | 1 | 07/19/2016 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |