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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Andrew Hutsell | 5966498 | 1 | 10/01/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Wesley Dwyer | 5942968 | 2 | 06/03/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joshua Dillard Williams | 6449533 | 1 | 02/28/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Benjamin John Hammes | 7269670 | 2 | 07/14/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joshua Christopher Timpe | 7788267 | 1 | 01/05/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Barre McLeod Butler | 7708391 | 1 | 09/06/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jody Marie Chalhoub | 4071256 | 1 | 11/11/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Susan Mallory Haynie | 6879722 | 2 | 11/03/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |