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 |
|---|---|---|---|---|---|---|---|---|
| Thomas James Cox | 2594977 | 3 | 06/23/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Grice Lucas | 313827 | 1 | 03/12/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas James Cox | 2594977 | 3 | 03/09/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Loren Justin Morrison | 4578161 | 6 | 02/23/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Loren Justin Morrison | 4578161 | 6 | 02/23/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas James Cox | 2594977 | 3 | 01/06/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Marinus van Donge | 1840127 | 4 | 01/28/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Susan Marie Dixon | 2778358 | 1 | 09/09/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joseph Roy Destromp | 5947871 | 1 | 11/22/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas Leigh Barr | 720803 | 3 | 11/01/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |