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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Joseph Cotrone | 1591297 | 3 | 10/04/2018 | Customer Dispute | Final | $22,016.40 | $0.00 | See FINRA Report |
| James Anthony Marino | 5049527 | 5 | 09/28/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Anthony Marino | 5049527 | 5 | 09/28/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Anthony Marino | 5049527 | 5 | 08/13/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Fallon Kregor | 2403684 | 11 | 08/06/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Roger Scott Froehlich | 2579494 | 2 | 07/27/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Denise M Marshall | 4595433 | 1 | 07/20/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven M Schwary | 2316561 | 7 | 07/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Anthony Marino | 5049527 | 5 | 06/28/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michelle Rebecca Marks | 7234997 | 3 | 05/24/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |