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 |
|---|---|---|---|---|---|---|---|---|
| Edward Earl Dahlkamp | 59868 | 1 | 05/11/1979 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Russ Brian Schwartz | 2819822 | 1 | 11/28/1977 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Frederick Whitaker | 1991866 | 1 | 12/11/1975 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Peter Lasser Gray | 856320 | 1 | 02/08/1973 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Charles Hartwell Ensey | 1417338 | 2 | 01/13/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brian Daniel Gruber | 710684 | 1 | 06/01/1966 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jon Thomas Nelson | 346156 | 3 | 02/01/1961 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |