| 15-00656 | 12/21/2015 | Claimant(s): Dolores Ottenad, William Ottenad
Claimant Lawyers(s): William L. Ottenad
Respondent(s): Stifel, Nicolaus & Co.., Phillip Carapella
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Joseph R. Soraghan
Hearing Site: St. Louis, MO
|  | $12,800 |
| 14-03709 | 12/08/2015 | Claimant(s): Carolyn McCool, Joshua Nehring
Claimant Lawyers(s): William R. Fishman
Respondent(s): Stifel, Nicolaus & Co.., Duane Smith
Respondent Lawyers(s): Duane Ariel Smith, James C. Browning
Arbitrator(s): James Patrick Beck, Ronald G. Guida, Bruce J. Pederson
Hearing Site: Denver, CO
| | Expungement |
| 14-02846 | 10/09/2015 | Claimant(s): Don Slutsky, Matthew Slutsky, Peter Slutsky, Phyllis Slutsky
Claimant Lawyers(s): Adam M. Green
Respondent(s): Stifel, Nicolaus & Co.., Robert Franco, Thomas Chance
Respondent Lawyers(s): Jeffrey C Primiano
Arbitrator(s): Michael P. Marryshow
Hearing Site: Philadelphia, PA
| | Expungement |
| 14-03198 | 09/01/2015 | Claimant(s): Shirley Thames
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Jeffrey C. Primiano
Arbitrator(s): Steven P. Gregory
Hearing Site: Birmingham, AL
| | Expungement |
| 13-02950 | 07/16/2015 | Claimant(s): The Polk Family 2000 Descendants Trust
Claimant Lawyers(s): Jerald L. Moss
Respondent(s): Stifel, Nicolaus & Co.., Kenneth Reeves
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Jason C. Blackford
Hearing Site: Cleveland, OH
| | $143,470 |
| 12-02897 | 03/31/2015 | Claimant(s): Tracy Gilbert
Claimant Lawyers(s): Tad McCraney
Respondent(s): Stifel, Nicolaus & Co.., Lanis Noble
Respondent Lawyers(s): Shepherd D. Tate
Arbitrator(s): Susan F. Drogin, John J. Meyer, Douglas E. Miller
Hearing Site: Jackson, MS
| | $1,542,340 |
| 13-03376 | 10/02/2014 | Claimant(s): Karen Newbery, IRA
Claimant Lawyers(s): Benjamin B. Segel
Respondent(s): Stifel, Nicolaus & Co.., James Culver
Respondent Lawyers(s): James Browning, Keith M. Lahay
Arbitrator(s): Charles D. Underwood
Hearing Site: Columbus, OH
| | $0 |
| 13-03019 | 09/08/2014 | Claimant(s): Chris Rones
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): David J. Langseth, Mitchell Lee Marinello, Thomas P. Valenti
Hearing Site: Chicago, IL
| | $0 |
| 13-00554 | 06/30/2014 | Claimant(s): Michael De Peaux
Claimant Lawyers(s): Thomas W. Pleasant
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Ralph M. Goren, Stanley H. Michelstetter, Mark A. Frankel
Hearing Site: Milwaukee, WI
| | $0 |
| 13-00753 | 01/24/2014 | Claimant(s): Frank Cheli
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Bill Swinford
Hearing Site: Indianapolis, IN
| | Expungement |
