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 |
|---|---|---|---|---|---|---|---|---|
| Lynn Cooper Faust | 729012 | 6 | 10/17/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Anthony Faust | 4050967 | 1 | 10/17/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert David Cohen | 1162192 | 6 | 09/25/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas L Lawrence Huber | 1475881 | 4 | 09/12/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Steven Long Zhou | 5629461 | 1 | 09/12/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Paul Kim | 4219593 | 3 | 07/30/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brittne Rivera | 4870115 | 2 | 03/02/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Erin A Daniels | 5183259 | 1 | 03/01/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jon M Randall | 4966118 | 1 | 12/07/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Leslie Sharon Beier | 2263239 | 1 | 11/09/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |