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 |
|---|---|---|---|---|---|---|---|---|
| John Hunter Tillotson | 1320717 | 4 | 05/05/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Craig Burdulis | 1054954 | 1 | 04/16/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey John Kartheiser | 1360201 | 4 | 03/11/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Johnston Darby | 1659917 | 4 | 12/10/2019 | 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 |
| Harvey Frank | 2109605 | 1 | 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 | 8 | 10/14/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven M Schwary | 2316561 | 8 | 10/12/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Henry Murphy | 1829393 | 4 | 09/26/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |