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 |
|---|---|---|---|---|---|---|---|---|
| James Anthony Marino | 5049527 | 5 | 09/28/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Anthony Marino | 5049527 | 5 | 08/13/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sheila Louise Scott | 6001342 | 2 | 07/16/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven M Schwary | 2316561 | 8 | 07/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shannon Marie Seaders | 6688517 | 1 | 06/30/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Anthony Marino | 5049527 | 5 | 06/28/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marcus Doran Fugate | 7700495 | 1 | 06/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michelle Rebecca Marks | 7234997 | 3 | 05/24/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michelle Rebecca Marks | 7234997 | 3 | 02/04/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Craig Henry | 5034221 | 1 | 09/28/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |