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 |
|---|---|---|---|---|---|---|---|---|
| Mark Jay Elston | 702496 | 1 | 12/17/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Kevin O'Keefe | 3277913 | 2 | 12/08/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Peter Goetz | 2826111 | 2 | 09/09/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Stephen Scott Brown | 1799847 | 3 | 09/09/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Colleen Mary Carey | 1311618 | 1 | 08/14/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Lebaron Springer | 2535792 | 3 | 07/23/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mary Amato | 2044313 | 1 | 07/23/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Francine Lee Frechter | 1224323 | 3 | 12/20/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Stephen Lee Carter | 807305 | 2 | 10/03/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Scott Aaron Lindermann | 4016726 | 1 | 08/06/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |