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 Saul Minker | 336377 | 8 | 10/01/1977 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Willard Eldon Bransky | 29053 | 2 | 08/05/1977 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Frederick Whitaker | 1991866 | 1 | 12/11/1975 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Norman Martin Fishbein | 208493 | 3 | 11/28/1975 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Anthony Strainer | 437914 | 4 | 02/28/1973 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Peter Lasser Gray | 856320 | 1 | 02/08/1973 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Charles Hartwell Ensey | 1417338 | 2 | 01/13/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brian Daniel Gruber | 710684 | 1 | 06/01/1966 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jon Thomas Nelson | 346156 | 3 | 02/01/1961 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel William Carnevale | 41099 | 4 | 11/30/-0001 | Customer Dispute | Award / Judgment | $250,000.00 | $93,000.00 | See FINRA Report |