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 |
|---|---|---|---|---|---|---|---|---|
| Douglas Leonard Bowcock | 2142529 | 1 | 12/29/2009 | Customer Dispute | Withdrawn | $25,000.00 | $0.00 | See FINRA Report |
| Anthony Arnall Morrison | 2192549 | 4 | 11/23/2009 | Customer Dispute | Withdrawn | $22,411.30 | $0.00 | See FINRA Report |
| John Barry Jenkins | 1473998 | 4 | 10/23/2009 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Michael Daniel Cox | 2471862 | 1 | 10/22/2008 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| James Earl Dickman | 1424229 | 1 | 09/28/2008 | Customer Dispute | Withdrawn | $8,355.00 | $0.00 | See FINRA Report |
| Clay Harrison Evans | 2981775 | 2 | 06/04/2007 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| David Bruce Holz | 2488092 | 5 | 08/07/2006 | Customer Dispute | Withdrawn | $7,593.00 | $0.00 | See FINRA Report |
| Paul Kim | 4219593 | 3 | 04/22/2005 | Customer Dispute | Withdrawn | $25,988.00 | $0.00 | See FINRA Report |
| James Douglas Burney | 825044 | 1 | 06/01/2004 | Customer Dispute | Withdrawn | $11,000.00 | $0.00 | See FINRA Report |
| Robert William Price | 367772 | 2 | 03/05/2004 | Customer Dispute | Withdrawn | $20,078.40 | $0.00 | See FINRA Report |