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 John Gagner | 216422 | 3 | 07/29/1983 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Harvey Novack | 349589 | 1 | 07/25/1983 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Randall Jay Powers | 1710653 | 2 | 04/28/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Scott Raymond Carlson | 2457316 | 1 | 04/16/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew Victor Webster | 5134838 | 1 | 04/14/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joni M Sharkey | 1439302 | 1 | 04/10/1983 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Loy Loraine Gotham | 1408565 | 3 | 09/10/1982 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Brian Waxgiser | 1585355 | 3 | 04/16/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert William Kuech | 874818 | 2 | 03/24/1982 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Allan Krogh | 275717 | 4 | 03/01/1982 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |