| 17-02284 | 08/30/2019 | Claimant(s): Cynthia Dahlstrom, Dana Proctor, David Dahlstrom, David D. Dahlstrom & Cynthia G.Dahlstrom
Claimant Lawyers(s): Anthony B. Bingham
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Ed Barkel
Arbitrator(s): I Douglas Dunipace, Loren Scott Buell, Jerome Allan Landau
Hearing Site: Phoenix, AZ
|  | $0 |
| 18-02477 | 08/29/2019 | Claimant(s): Edelgard Hosmer Trust U/A dated 5/1/07, Edward J. Hosmer, Edward J. Hosmer Trust U/A dated 5/1/07
Claimant Lawyers(s): Andre R. Perron
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Marc S. Dobin
Arbitrator(s): Roger C. Benson, David M. Snyder, Richard Manuel Barcia
Hearing Site: Tampa, FL
| | $100,000 |
| 17-01369 | 07/18/2019 | Claimant(s): Ajay Ahuja, Nicholas Ahuja, Dr. Ajay Ahuja Deutsche Bank IRA Account
Claimant Lawyers(s): David E.. Robbins
Respondent(s): Deutsche Bank Securities., David Fleming, Stifel, Nicolaus & Co.., Sterne, Agee & Leach.
Respondent Lawyers(s): David Wilson Fleming, Richard H. Kuhlman, Toby S. Soli
Arbitrator(s): Rory M. McLaughlin, Steven C. Kasarda, Suzanne L. Ulicny
Hearing Site: New York, NY
| | $793,605 |
| 18-00095 | 04/17/2019 | Claimant(s): James Carey
Claimant Lawyers(s): W. Andrew Clayton
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Marc S. Dobin
Arbitrator(s): Joseph I. Goldstein, Cindy L. Anderson, Mary Ann Etzler
Hearing Site: Orlando, FL
| | $0 |
| 17-01523 | 02/13/2019 | Claimant(s): Ion Zupcu, Rodica Zupcu
Claimant Lawyers(s): Timothy J. O'Connor
Respondent(s): Kenneth Christman, Stifel, Nicolaus & Co.., Theresa Scott
Respondent Lawyers(s): Jeffrey C. Primiano
Arbitrator(s): Veronica Ann Williams
Hearing Site: New York, NY
| | Expungement |
| 17-00175 | 10/22/2018 | Claimant(s): Helena Galatolo, Susan Protzel, The Susan J. Protzel Trust U/A DTD 07/20
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Rachel Weitzman
Arbitrator(s): Barbara M. Zak, Gary Timothy Haight, Marc S. Joseph
Hearing Site: Los Angeles, CA
| | $0 |
| 17-01880 | 10/19/2018 | Claimant(s): John Coughlin
Claimant Lawyers(s): Neda Ataie
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Doris V. Knotter, Janice L. Sperow, William Stephen McGee
Hearing Site: San Diego, CA
| | Expungement |
| 17-01478 | 10/03/2018 | Claimant(s): Rose Leviton
Claimant Lawyers(s): Christopher J. Major
Respondent(s): David Cohen, Stifel, Nicolaus & Co.., Janney Montgomery Scott LLC
Respondent Lawyers(s): Edwin A. Zipf, Theodore R. Snyder
Arbitrator(s): Anna M. Fanelli, Martin A. Edelstein, Linda J. Baer
Hearing Site: New York, NY
| | $0 |
| 18-00317 | 09/12/2018 | Claimant(s): Gail Schneider, Gail Schneider IRA
Claimant Lawyers(s): Robert H. Rex
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Craig D. Stein
Arbitrator(s): David P. Slater
Hearing Site: Boca Raton, FL
| | Expungement |
| 17-01293 | 08/27/2018 | Claimant(s): LeAnn Blackwell
Claimant Lawyers(s): Raymond Daniel Faust
Respondent(s): John Whitaker, Stifel, Nicolaus & Co.., City Securities Corporation
Respondent Lawyers(s): Richard Kuhlman
Arbitrator(s): Thomas F. Mahoney, Philip J. Glick, Tim V. Young
Hearing Site: Indianapolis, IN
| | $0 |
