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 |
|---|---|---|---|---|---|---|---|---|
| G Thomas Parry | 1259983 | 3 | 02/22/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Chuck A Roberts | 2064602 | 22 | 02/05/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Loy Loraine Gotham | 1408565 | 3 | 11/20/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| G Thomas Parry | 1259983 | 3 | 11/17/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Geoffrey Leigh Dent | 65603 | 1 | 05/29/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher John Horan | 2389581 | 1 | 03/05/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jody Gordon Scheiman | 1124370 | 3 | 06/05/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Morton Elwood Wolverton | 1916382 | 8 | 01/03/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Todd William Miller | 1384291 | 2 | 12/29/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Lawrence Caress | 7098247 | 1 | 10/12/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |