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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Thompson | 4631462 | 3 | 07/05/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Craig Michael Bentley | 3241519 | 3 | 04/21/2015 | Customer Dispute | Denied | $21,636.00 | $0.00 | See FINRA Report |
| Vicki Lynn Bayley | 2607884 | 1 | 04/15/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Lynn Mitchell | 1523211 | 5 | 03/31/2015 | Customer Dispute | Denied | $450,000.00 | $0.00 | See FINRA Report |
| Victor Joseph Costa | 2464649 | 2 | 03/17/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Bruce Holz | 2488092 | 5 | 03/09/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brett David Levinson | 2644880 | 2 | 02/23/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Cynthia Elaine Touchton | 2381833 | 2 | 12/15/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Larry Rust Toole | 1533007 | 6 | 05/01/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Sonia Rose Ginnell | 1325951 | 1 | 04/23/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |