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 |
|---|---|---|---|---|---|---|---|---|
| Kevin Nowaskey | 7288073 | 1 | 09/30/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brandon Harm | 7528349 | 1 | 04/04/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nathaniel Patrick Kane | 7126266 | 1 | 04/15/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alexander Scott Barnett | 7094433 | 1 | 07/09/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stefan Scott Hatfield | 6985306 | 1 | 04/11/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Moore Gabal | 5435041 | 1 | 08/18/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John M Vernon | 5200660 | 1 | 01/16/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Benjamin John Hammes | 7269670 | 2 | 11/21/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph Federico | 6965563 | 1 | 10/15/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kevin Patrick Vogel | 6958306 | 1 | 01/26/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |