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 |
|---|---|---|---|---|---|---|---|---|
| Robert Nelson Adrian | 1791731 | 1 | 11/24/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Leonard Eugene Tanner | 442470 | 2 | 03/05/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Morton Elwood Wolverton | 1916382 | 8 | 10/17/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick Thomas Ward | 2434286 | 1 | 06/09/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth Edward Chapin | 1052210 | 5 | 03/20/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert William Price | 367772 | 2 | 02/06/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Jay Raabe | 2148468 | 1 | 12/16/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Morton Elwood Wolverton | 1916382 | 8 | 09/23/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth Edward Chapin | 1052210 | 5 | 08/13/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Martin Firestone Bowers | 1018570 | 1 | 06/11/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |