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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Alan Carl Wolman | 2006916 | 5 | 11/30/-0001 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Randall Kent Minas | 821449 | 11 | 11/30/-0001 | Customer Dispute | Settled | $600,000.00 | $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 |