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 | 03/09/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Loren Justin Morrison | 4578161 | 10 | 02/23/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Loren Justin Morrison | 4578161 | 10 | 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 | |
| Susan Marie Dixon | 2778358 | 1 | 09/09/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Steven M Schwary | 2316561 | 8 | 06/19/2020 | 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 | |
| Paulina Greene Stone | 2960243 | 4 | 05/30/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Paulina Greene Stone | 2960243 | 4 | 11/05/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dawn Marie Kucala | 7351976 | 1 | 07/16/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |