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FINRA Awards for Nicolaus & Co..

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Displaying 21-30 out of 62 results
Case Number Award Date Case Summary Customer Case? Amount Granted
19-0120510/31/2019Claimant(s): Mark Elston
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Julie Flynn
Arbitrator(s): Helen Marinak Blohm
Hearing Site: Reno, NV
18-0135405/08/2019Claimant(s): David Reuben
Claimant Lawyers(s): Louis D. Tambaro
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Lauren Beekman
Arbitrator(s): Kent L. Benziger
Hearing Site: New York, NY
17-0217511/12/2018Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Jeffrey C. Primiano
Respondent(s): Michael Levy
Respondent Lawyers(s): Jerry W. Sullivan
Arbitrator(s): Lawrence R. Maxwell
Hearing Site: New Orleans, LA
18-0171709/07/2018Claimant(s): Stifel, Nicolaus & Co.., Keefe, Bruyette & Woods.
Claimant Lawyers(s): Jeffrey C. Primiano
Respondent(s): Duncan Preston
Respondent Lawyers(s): Duncan Preston
Arbitrator(s): William M. Getzoff
Hearing Site: St. Louis, MO
16-0245312/29/2017Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Andrew Shapren
Respondent(s): Jeffrey Olson
Respondent Lawyers(s): Aaron R. Hartman
Arbitrator(s): Brett W. Olander
Hearing Site: Minneapolis, MN
15-0286308/10/2017Claimant(s): Hilltop Securities Inc.
Claimant Lawyers(s): Brandon S. Reif
Respondent(s): Andrew Harvey, Brett Levinson, Carla Osbourne, Harvey Frank, Stifel, Nicolaus & Co.., Wyatt Farmer
Respondent Lawyers(s): Kevin K. Fitzgerald
Arbitrator(s): Thomas J. Doherty, Evan A. Gould, Ann Elizabeth DiGiorgio
Hearing Site: San Diego, CA
15-0334604/17/2017Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): John Fisher
Respondent Lawyers(s): Michael Mui
Arbitrator(s): John J. Vesey
Hearing Site: New York, NY
15-0114508/10/2016Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Gerald Burns
Respondent(s): Christian Harkness
Respondent Lawyers(s): Stephen L. Morgan
Arbitrator(s): Michael F. Jordan, Terry F. Peppard, Laura Anne Lamberg
Hearing Site: Milwaukee, WI
16-0024407/06/2016Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Jeffrey C. Primiano
Respondent(s): Arthur King
Respondent Lawyers(s): Arthur Kenneth King
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Birmingham, AL
14-0167605/12/2016Claimant(s): Wedbush Securities Inc.
Claimant Lawyers(s): John L. Erikson
Respondent(s): Stifel, Nicolaus & Co.., Gary Whinery
Respondent Lawyers(s): Joseph A. Dougherty
Arbitrator(s): Michael D. Weiner, Daniel B. MacLeod, John Robert Oreskovich
Hearing Site: Boise, ID

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