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 |
|---|---|---|---|---|---|---|---|---|
| Mark James Stevenson | 436079 | 9 | 05/16/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Becky Marie Loggins | 1885915 | 2 | 03/31/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Daniel Gaona | 6516731 | 1 | 03/23/2022 | Employment Separation After Allegations | $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 | |
| Lynn Cooper Faust | 729012 | 6 | 02/04/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Robert Mielke | 1219765 | 6 | 01/27/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas James Cox | 2594977 | 3 | 01/06/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |