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FINRA Awards for Nicolaus & Co..

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Displaying 10 out of 62 results
Case Number Award Date Case Summary Customer Case? Amount Granted
24-0127409/13/2024Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Joseph Monaco
Respondent Lawyers(s): Joseph Anthony Monaco
Arbitrator(s): Bryan Lane Berson
Hearing Site: New York, NY
23-0224005/22/2024Claimant(s): Gerard Kelly III
Claimant Lawyers(s): Craig Stein
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Steven M. Greenbaum, Layne Verebay, Edward R. Niederriter
Hearing Site: Boca Raton, FL
23-0227405/02/2024Claimant(s): Robert Traitz
Claimant Lawyers(s): Brian Luther
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Sam Antar
Hearing Site: Jersey City, NJ
23-0196103/15/2024Claimant(s): Mark Kennedy
Claimant Lawyers(s): Debra A Jenks
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Michael S. Matek
Hearing Site: Denver, CO
22-0187502/23/2024Claimant(s): Daniel Labes
Claimant Lawyers(s): Christopher Kaye
Respondent(s): Stifel, Nicolaus & Co.., Loren Morrison
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): Jeffry M. Bauer, John Polakas, Michele Renee Zinn
Hearing Site: Detroit, MI
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22-0220712/28/2023Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Craig Stein
Respondent(s): David Ferneding
Respondent Lawyers(s): David Jerome Ferneding
Arbitrator(s): Lawrence R. Maxwell
Hearing Site: Dallas, TX
23-0053812/20/2023Claimant(s): Ghazaleh Ebrahimi
Claimant Lawyers(s): Thomas P. McEvoy
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Paul Klein
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
23-0054112/20/2023Claimant(s): Ghazaleh Ebrahimi
Claimant Lawyers(s): Thomas P. McEvoy
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Paul Klein
Arbitrator(s): Gerald M. Levine
Hearing Site: New York, NY
23-0110412/19/2023Claimant(s): Mark Matthes
Claimant Lawyers(s): Craig D. Stein
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Paul Weinberg, William Kent Brown, Tiffany Ann Taylor
Hearing Site: Boca Raton, FL
21-0153405/18/2023Claimant(s): Raymond Potter
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Leslie Ruth Nydick, Thomas M. Madden, Rick Rutman
Hearing Site: New York, NY

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