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 Godwin Joyce | 6120859 | 1 | 10/30/2023 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Wichlenski | 7330576 | 1 | 09/28/2021 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brandon Harm | 7528349 | 1 | 04/04/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Justin Wyatt Zabinski | 7132851 | 1 | 03/17/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sorcha Catherine Dolan | 6346598 | 1 | 05/17/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bradley Wright McIntosh | 6085183 | 1 | 12/20/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stefan Scott Hatfield | 6985306 | 1 | 04/11/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Moore Gabal | 5435041 | 1 | 08/18/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John M Vernon | 5200660 | 1 | 01/16/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Benjamin John Hammes | 7269670 | 2 | 11/21/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |