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 |
|---|---|---|---|---|---|---|---|---|
| Anthony Arnall Morrison | 2192549 | 4 | 08/30/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Loren Justin Morrison | 4578161 | 6 | 08/19/2022 | Customer Dispute | Pending | $1,843,120.00 | $0.00 | See FINRA Report |
| Paul Kim | 4219593 | 3 | 08/19/2022 | Customer Dispute | Pending | $1,450,000.00 | $0.00 | See FINRA Report |
| James Lebaron Springer | 2535792 | 5 | 08/11/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Mark D Permenter | 1571527 | 2 | 07/06/2022 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Thomas James Cox | 2594977 | 3 | 06/23/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William S Humber | 5764524 | 1 | 06/17/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Loren Justin Morrison | 4578161 | 6 | 06/14/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Andrew B. Woolworth | 4407177 | 3 | 05/26/2022 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| James Franklin Bernard | 2550802 | 5 | 05/16/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |