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 |
|---|---|---|---|---|---|---|---|---|
| Jennifer Lillian Basey | 4730054 | 5 | 02/12/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Johnston Darby | 1659917 | 3 | 12/10/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Harvey Frank | 2109605 | 1 | 12/09/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brett David Levinson | 2644880 | 2 | 12/09/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Alan Rubarth | 2315888 | 2 | 10/25/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steven M Schwary | 2316561 | 7 | 10/14/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven M Schwary | 2316561 | 7 | 10/12/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven M Schwary | 2316561 | 7 | 09/15/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven M Schwary | 2316561 | 7 | 09/15/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Staci Michelle Huether | 4231255 | 3 | 08/30/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |