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 |
|---|---|---|---|---|---|---|---|---|
| Daniel Scott Weber | 4800003 | 1 | 03/07/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kristen S Hurley | 3232625 | 1 | 01/21/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Kevin O'Keefe | 3277913 | 2 | 12/07/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael E Newins | 5866331 | 2 | 11/30/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Nelson Adrian | 1791731 | 1 | 11/24/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Cody Miller | 2937577 | 3 | 11/19/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michelle Rebecca Marks | 7234997 | 3 | 11/18/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jerome Charles Gendron | 1443711 | 7 | 11/04/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Wiggin Morrison | 6134787 | 2 | 10/26/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sarah Fae Cox | 7090334 | 2 | 09/22/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |