| 22-01714 | 06/04/2024 | Claimant(s): Chad Karl
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): WRP Investments.
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Kevin R. Zehe
Hearing Site: Pittsburgh, PA
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| 23-02240 | 05/22/2024 | Claimant(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
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| 23-02274 | 05/02/2024 | Claimant(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
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| 23-01961 | 03/15/2024 | Claimant(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
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| 23-01104 | 12/19/2023 | Claimant(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
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| 15-00528 | 03/09/2016 | Claimant(s): Dennis Dai
Claimant Lawyers(s): Anna M. Rossi
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Sterling N. Frost, Mary H. Evans, John Burritt McArthur
Hearing Site: San Francisco, CA
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| 12-01503 | 05/22/2013 | Claimant(s): James Britt
Claimant Lawyers(s): James Britt
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Robert S. McConnell
Hearing Site: Phoenix, AZ
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| 11-01487 | 06/28/2012 | Claimant(s): Jason Lowther
Claimant Lawyers(s): Steve A. Buchwalter
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Larry Haugaard, Donald A. Duncan, Robert Alan Merring
Hearing Site: Los Angeles, CA
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| 07-02485 | 09/24/2008 | Claimant(s): Raymond Curtin
Claimant Lawyers(s): Robert C. Stokes
Respondent(s): Wachovia Securities
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Ned B. Young, Kimberly A. Gilmour, Charles W. Lavender
Hearing Site: Ft. Lauderdale, FL
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| 06-02098 | 08/14/2008 | Claimant(s): John McQueen
Claimant Lawyers(s): John McQueen
Respondent(s): Jason Parlato, A.G. Edwards & Sons.
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Patricia N. Cirillo, Richard W. Cutler, Charles Ajamian
Hearing Site: New York, NY
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