| 14-01676 | 05/12/2016 | Claimant(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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| 13-02164 | 07/10/2014 | Claimant(s): Aaron Krauss
Claimant Lawyers(s): David S. Rich
Respondent(s): Lincoln Financial Distributors.
Respondent Lawyers(s): Joseph A. Dougherty
Arbitrator(s): Carol H. Gold
Hearing Site: Philadelphia, PA
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| 09-02191 | 03/28/2012 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Retta A. Miller
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Joseph A. Dougherty
Arbitrator(s): Jan Preece Gaddis, Billy H. Ware, Charles W. Adams
Hearing Site: Oklahoma City, OK
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| 09-02124 | 04/08/2011 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Joseph A. Dougherty
Arbitrator(s): Frank M. Romano, William M. Lacy, Charles S. Chester
Hearing Site: Houston, TX
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| 08-02137 | 12/18/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Kathryn Bedke
Respondent(s): Stifel, Nicolaus & Co.., Frank Brand, George Stukes, Marvin Slaughter, Stephen Jones
Respondent Lawyers(s): Joseph A. Dougherty
Arbitrator(s): J. Kirkland Grant, Frank Samuel Perri, John Wescoat Sandlin
Hearing Site: Columbia, SC
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| 07-02921 | 08/08/2008 | Claimant(s): Anthony Russo, Christopher Drake, David Luna, Stifel, Nicolaus & Co.., Donald Johns, Edward Gutierrez, Herbert Keyser, Jon Bostrom, Linda Swart-Scipione, Lisa Evans, Lisa McCrea, Manuel Lozano, Michael Nielsen, Raymond Reed
Claimant Lawyers(s): Joseph A. Dougherty, Kenneth C. Mennemeier
Respondent(s): Wachovia Securities, A.G. Edwards & Sons.
Respondent Lawyers(s): Jordan D. Becker
Arbitrator(s): Keith D. Patten, Robert W. Dempsey, Jeffrey N. Sullivan
Hearing Site: St. Louis, MO
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| 07-01458 | 04/25/2008 | Claimant(s): Gerald Kessler
Claimant Lawyers(s): Michael B. Dubin
Respondent(s): Wachovia Securities, Paul Baker
Respondent Lawyers(s): Andrew R. Park, Joseph A. Dougherty
Arbitrator(s): Michael D. Neft, Harold P. Starr, George F. Adams
Hearing Site: Philadelphia, PA
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