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 |
|---|---|---|---|---|---|---|---|---|
| Henry Anthony Otten | 1131860 | 4 | 07/20/2007 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ashlee L Ashlock | 4800420 | 2 | 12/08/2006 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Daniel William Carnevale | 41099 | 4 | 08/09/2006 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Gary Steven Brochin | 1365990 | 1 | 05/16/2006 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joseph Edward Ringhoffer | 1402957 | 2 | 02/06/2006 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kenneth Todd MacKenzie | 2229177 | 1 | 01/17/2006 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Frederick Martin Ross | 2023090 | 1 | 11/23/2005 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert David Traitz | 1158088 | 5 | 08/08/2005 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jody Gordon Scheiman | 1124370 | 3 | 08/03/2005 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Joseph Dorsey | 1585567 | 2 | 06/15/2005 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |