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 |
|---|---|---|---|---|---|---|---|---|
| Ashlee L Ashlock | 4800420 | 2 | 05/06/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Daniel O'Loughlin | 6436958 | 1 | 03/24/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mitchell J Bergen | 7788203 | 1 | 02/26/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Edward Ellis | 5992576 | 1 | 07/18/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Deanna Jean Mercurio | 1327619 | 1 | 09/11/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jesse Lee Wright | 5065529 | 3 | 03/23/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Wesley Dwyer | 5942968 | 2 | 11/12/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Debbie Sue Hines | 2968651 | 1 | 09/25/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Mitchell Tellers | 7502813 | 2 | 09/21/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christy N Hornaday | 4680235 | 2 | 10/31/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |