| 12-03292 | 09/24/2013 | Claimant(s): Carmella DiMercurio
Claimant Lawyers(s): Mitchell D. Johnson
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Sharon R. Merriman
Hearing Site: St. Louis, MO
|  | $62,501 |
| 12-01531 | 09/23/2013 | Claimant(s): Meryl Kauff, Philip Kauff
Claimant Lawyers(s): Alan L. Frank
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Jeffrey C. Primiano
Arbitrator(s): Felix A. Meschini, Paul Ribner, Peter A. Scarpato
Hearing Site: Philadelphia, PA
| | Expungement |
| 13-00130 | 09/03/2013 | Claimant(s): Norman Pinn
Claimant Lawyers(s): Christine Lazaro
Respondent(s): Stifel, Nicolaus & Co.., Philip Smolowitz
Respondent Lawyers(s): Jeffrey C. Primiano
Arbitrator(s): Paul Weinberg
Hearing Site: New York, NY
| | $3,311 |
| 12-01048 | 08/30/2013 | Claimant(s): Jacqueline Hayes
Claimant Lawyers(s): Jacqueline Hayes
Respondent(s): Curtis Triggs, Stifel, Nicolaus & Co..
Respondent Lawyers(s): Curtis William Triggs, James C. Browning
Arbitrator(s): Paul Lansing, Jack D. Olson, Phillip L. Wisely
Hearing Site: St. Louis, MO
| | $0 |
| 12-02569 | 07/26/2013 | Claimant(s): William Wilson
Claimant Lawyers(s): James Schull
Respondent(s): Stifel, Nicolaus & Co.., Joy Wilson, Scott Wilson
Respondent Lawyers(s): Gesina (Ena) M. Seiler, Jeffrey C. Primiano
Arbitrator(s): Charles A. Joplin
Hearing Site: Dallas, TX
| | $0 |
| 11-02093 | 06/20/2013 | Claimant(s): Robert Buser, Roseann Buser
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Keith E. Mattern, Frederick Michael Switzer, Joan M. Esserman
Hearing Site: St. Louis, MO
| | $0 |
| 11-04506 | 05/28/2013 | Claimant(s): Dana Lang
Claimant Lawyers(s): Lee Bowie
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Arthur W. Pigott, John G. Manley, James L. Warren
Hearing Site: Jackson, MS
| | $200,375 |
| 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
| | |
| 09-04869 | 04/18/2013 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Charles A. Hammaker
Respondent(s): Stifel, Nicolaus & Co.., Gary Endres
Respondent Lawyers(s): Andrew Shapren, Joseph A.. Dougherty
Arbitrator(s): Nancy J. Spieczny, Deanna Margaret Veitia, Brian William Heublein
Hearing Site: San Diego, CA
| | |
| 11-03939 | 01/17/2013 | Claimant(s): Sylvia Nachtigall
Claimant Lawyers(s): Barry E Janay
Respondent(s): Christopher Cerniglia, Stifel, Nicolaus & Co..
Respondent Lawyers(s): Jeffrey C. Primiano
Arbitrator(s): Micalyn S. Harris, Leslie Ruth Nydick, Brian J. Strum
Hearing Site: Newark, NJ
| | Expungement |
