| 10-03472 | 11/15/2011 | Claimant(s): Daniel Hardy, Mary Spivey, Estate of Daniel Thomas Hardy, III, Estate of Susan Hardy Killgore
Claimant Lawyers(s): James F. Willeford, Jessica M. Vasquez
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Leonard E. Benade, Dale A. Kaliszeski, Simeon B. Reimonenq
Hearing Site: New Orleans, LA
|  | Expungement |
| 10-05821 | 08/23/2011 | Claimant(s): Ruth Lally
Claimant Lawyers(s): Adam S. Tracy
Respondent(s): Stifel, Nicolaus & Co.., Renee Raymond
Respondent Lawyers(s): Keith M. Lahay
Arbitrator(s): Donald W. McKenzie
Hearing Site: Chicago, IL
| | $213 |
| 10-05581 | 08/15/2011 | Claimant(s): Albert and Elizabeth Douglas
Claimant Lawyers(s): Walter A Gilmore
Respondent(s): Stifel, Nicolaus & Co.., Peter Piccinini, Janney Montgomery Scott LLC
Respondent Lawyers(s): Carrie L. Chelko, Jeffrey C. Primiano
Arbitrator(s): Edward Blumstein
Hearing Site: Philadelphia, PA
| | $0 |
| 10-02870 | 08/12/2011 | Claimant(s): Barbara Lynn, Barbara A. Lynn Trust
Claimant Lawyers(s): Roland M. Cavalier
Respondent(s): Brian Robb, Stifel, Nicolaus & Co.., John Peters
Respondent Lawyers(s): James C. Browning, Jr.
Arbitrator(s): Bert S Cliff, Jeffrey M. Bain, Kathleen Maher Zouhary
Hearing Site: Cleveland, OH
| | Stipulated Award and Expungement |
| 10-00669 | 04/01/2011 | Claimant(s): Isaac Pardo
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): David Kaminsky, Stifel, Nicolaus & Co..
Respondent Lawyers(s): Jeffrey C. Primiano
Arbitrator(s): Robert S. Getman
Hearing Site: New York, NY
| | $0 |
| 09-04933 | 03/31/2011 | Claimant(s): Barbara Cook, Barbara Bush Cook Living Trust
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): John N. Reidy, David B. Lacks, Joan M. Esserman
Hearing Site: St. Louis, MO
| | $42,675 |
| 09-00465 | 12/30/2010 | Claimant(s): Peter Bruni and Michele Bruni
Claimant Lawyers(s): Thomas J. Momjian
Respondent(s): Stifel, Nicolaus & Co.., Ryan Beck & Co., Michael Bader
Respondent Lawyers(s): Irving Bizar, Marc Durant
Arbitrator(s): Guillermo L. Bosch, Joseph F. Pittelli, Ethan L. Lewis
Hearing Site: Philadelphia, PA
| | $52,183 |
| 09-05990 | 12/28/2010 | Claimant(s): Warren J. Meyer and Mary Ellen Meyer
Claimant Lawyers(s): Steven W. Koslovsky
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): David B. Lacks
Hearing Site: St. Louis, MO
| | $31,460 |
| 08-04725 | 09/01/2010 | Claimant(s): Ronald Kline
Claimant Lawyers(s): Nicholas J Guiliano
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Richard Szuch
Arbitrator(s): Joseph L. Farrell, Edward F. Koren, Peter Edward Sheridan
Hearing Site: Philadelphia, PA
| | $0 |
| 06-02711 | 05/25/2010 | Claimant(s): Donna Zgonina, Casmir H. Zgonina Ins. Trust
Claimant Lawyers(s): Robert D. Tepper
Respondent(s): Stifel, Nicolaus & Co.., George Johnson
Respondent Lawyers(s): Jane Matoesian
Arbitrator(s): Ray J. Grzebielski, Michael S. Jordan, Anthony P. Pecora
Hearing Site: Chicago, IL
| | Stipulated Award |
