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 |
|---|---|---|---|---|---|---|---|---|
| Gregory Eugene Griffin | 4154665 | 2 | 10/24/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Casey Harman | 5302142 | 1 | 05/30/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bryan Edward Lundberg | 2707534 | 1 | 03/23/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christy N Hornaday | 4680235 | 2 | 03/16/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Monica Rene Schepis | 4621156 | 1 | 03/24/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Oliver Choy | 4696170 | 2 | 10/22/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Emily Elaine Delashmit | 4979272 | 1 | 08/04/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Scott McCann | 2072616 | 2 | 03/17/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Raymond Thomas | 3188834 | 1 | 04/21/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stephen Douglas Willey | 5293116 | 1 | 10/26/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |