23-01270 | 11/08/2024 | Claimant(s): Douglas Muhlbauer, The Harbor Group of New York., The Harbor Group of South Florida., Harbor Group of South Florida. 401k, Harbor Group of South Florida. Cash, The Harbor Group of New York Inc. 401(K), The Harbor Group of New York. Cash, American Endowment Foundation FBO Claimant Lawyers(s): Jeffrey Erez Respondent(s): Stifel, Nicolaus & Co.. Respondent Lawyers(s): V. Justin Arpey Arbitrator(s): Allen Robin, Carl Henry Perdue, Richard Gendler Hearing Site: Boca Raton, FL
| | $2,348,860 |
23-01288 | 10/03/2024 | Claimant(s): Elizabeth Deluca, Louis Deluca, UBS. Claimant Lawyers(s): Jeffrey Erez Respondent(s): Stifel, Nicolaus & Co.. Respondent Lawyers(s): G. Wayne Hillis Arbitrator(s): John B. Sochacki, Stephanie Jeannette Charny, Gustavo Gutierrez Hearing Site: Boca Raton, FL
| | $14,266,100 |
22-01176 | 02/26/2024 | Claimant(s): Marlin Andrews Claimant Lawyers(s): Richard S. Frankowski Respondent(s): Stifel, Nicolaus & Co.., William Humber Respondent Lawyers(s): Peter S. Fruin Arbitrator(s): Debra Black Leo, Derry Olive Wilcox, Michael Tryon Hearing Site: Birmingham, AL
| | $0 |
19-02039 | 12/04/2023 | Claimant(s): Gables Capital Management. Claimant Lawyers(s): Jeffrey T. Foreman Respondent(s): Aaron Lupuloff, Stifel, Nicolaus & Co.., Jandra Lubovich, Jon Cooper, INTL FCStone Financial. Respondent Lawyers(s): Peter S. Fruin Arbitrator(s): Barth Satuloff, Paul B. Glantz, Nanci Sondra Landy Hearing Site: Boca Raton, FL
| | Expungement |
18-02134 | 10/05/2023 | Claimant(s): Rocky Vista University, Yife Tien Irrevocable Dynasty Trust Claimant Lawyers(s): Jonathan B. Butler Respondent(s): Aaron Lupuloff, Stifel, Nicolaus & Co.., Jandra Lubovich, Jon Cooper, Intl Fcstone Financial Inc. Respondent Lawyers(s): Peter S. Fruin Arbitrator(s): Meah Rothman Tell, Seth L. Finkel, Nanci Sondra Landy Hearing Site: Miami, FL
| | $0 |
20-02909 | 07/17/2023 | Claimant(s): Leslie Nelson Claimant Lawyers(s): Paul L. Vorndran Respondent(s): Stifel, Nicolaus & Co.., Randall Minas Respondent Lawyers(s): Kendra S. Canape Arbitrator(s): Carla B. Minckley, Carol L. Roslund, Tina Alison Davis Hearing Site: Denver, CO
| | Expungement |
22-02049 | 07/13/2023 | Claimant(s): Allen Markland, Carole Appleton, Danielle (Appleton) Caponigro, Deborah (Appleton) Gallant, John Markland, Robert Markland, Timothy Appleton Claimant Lawyers(s): William B. Young Respondent(s): Gerard Kelly, Stifel, Nicolaus & Co.. Respondent Lawyers(s): Craig Stein Arbitrator(s): Gary M. Landau, Robert Lawrence Ostrov, Lisa Jane Austein Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12206 |
21-00606 | 12/21/2022 | Claimant(s): Mitchell Bublitz, IRA Claimant Lawyers(s): Michael MacDonald Respondent(s): Stifel, Nicolaus & Co.., Richard Schultz Respondent Lawyers(s): Julie H. Firestone Arbitrator(s): Jack D. Elmquist, Douglas J. Nesbit, Mary Louise Hilfiker Hearing Site: Minneapolis, MN
| | $1,000 |
18-00229 | 07/28/2022 | Claimant(s): Estate of Elaine Falcigno Claimant Lawyers(s): Edmund Polubinski Respondent(s): Frederick Mueller, Stifel, Nicolaus & Co.. Respondent Lawyers(s): Edwin A. Zipf Arbitrator(s): Robert L. Chase, John J. Mager, April C. Teveris Hearing Site: Hartford, CT
| | $0 |
21-03083 | 07/20/2022 | Claimant(s): Estate of Nicole B. Reuben Claimant Lawyers(s): Kristian Kraszewski Respondent(s): Stifel, Nicolaus & Co.. Respondent Lawyers(s): Craig D. Stein Arbitrator(s): Mark C. Perry, Richard W. Epstein, Mark David Hunter Hearing Site: Boca Raton, FL
| | Expungement |