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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Henry Murphy | 1829393 | 4 | 01/25/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Russell Andrew Dibenedetto | 3248721 | 1 | 12/17/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Baca | 5831516 | 1 | 12/04/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Peter Anthony Nicoletti | 4132229 | 1 | 12/01/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kenneth S Alter | 2147698 | 6 | 07/24/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Doyle Dammert | 2108906 | 3 | 07/23/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Richard S Botkin | 1571729 | 4 | 06/01/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert James Simon | 1572882 | 1 | 04/20/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Harrison McWilliams | 4688323 | 4 | 02/27/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Harrison McWilliams | 4688323 | 4 | 02/27/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |