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 |
|---|---|---|---|---|---|---|---|---|
| Marcia Ann Brown | 4301664 | 1 | 05/06/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Evan James Yacker | 6083150 | 1 | 05/03/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Peter Goetz | 2826111 | 2 | 04/01/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Scott Brown | 1799847 | 3 | 04/01/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Faisal Raza | 4814166 | 2 | 03/15/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brittne Rivera | 4870115 | 2 | 03/14/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| 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 | 3 | 11/30/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |