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 |
|---|---|---|---|---|---|---|---|---|
| Michael Wiggin Morrison | 6134787 | 2 | 11/25/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ron Anthony Bekins | 4886933 | 2 | 11/13/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jennifer Ellen Alexander | 1882453 | 4 | 10/31/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jennifer Ellen Alexander | 1882453 | 4 | 10/28/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Morton Elwood Wolverton | 1916382 | 8 | 10/17/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Maryann Distasio | 1600614 | 2 | 09/19/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Reid Smith | 722983 | 2 | 09/02/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brittne Rivera | 4870115 | 3 | 09/01/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Joseph Portnoy | 1855624 | 4 | 07/30/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick Thomas Ward | 2434286 | 1 | 06/09/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |