| 09-00405 | 01/29/2010 | Claimant(s): J. Benefield, Mary Benefield, The Benefield Family Trust
Claimant Lawyers(s): Martin B. Greenbaum, Ron Miller
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Vincent J. Natoli, Ronald F. Rybandt, Steven J. Feldman
Hearing Site: Los Angeles, CA
|  | $366,840 |
| 08-02137 | 12/18/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Kathryn Bedke
Respondent(s): Stifel, Nicolaus & Co.., Frank Brand, George Stukes, Marvin Slaughter, Stephen Jones
Respondent Lawyers(s): Joseph A. Dougherty
Arbitrator(s): J. Kirkland Grant, Frank Samuel Perri, John Wescoat Sandlin
Hearing Site: Columbia, SC
| | |
| 09-00235 | 11/09/2009 | Claimant(s): Nickolas J. Batis and Carol Ann Batis
Claimant Lawyers(s): Arnold Y. Steinberg
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Stanley Yorsz
Arbitrator(s): Karl F. Meyers, Kevin R. McDermott, Christopher Lepore
Hearing Site: Pittsburgh, PA
| | $3,193 |
| 08-04259 | 04/29/2009 | Claimant(s): Emery Sher
Claimant Lawyers(s): Emery P. Sher
Respondent(s): Stifel, Nicolaus & Co.., Kirk Cleland, Matthew Kyler
Respondent Lawyers(s): Jeffrey C. Primiano
Arbitrator(s): Joan L. Volz
Hearing Site: Minneapolis, MN
| | $4,979 |
| 08-01168 | 04/08/2009 | Claimant(s): Robert Hwang
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Jeffrey C. Primiano
Arbitrator(s): Orestes J. Mihaly, David I. Goldblatt, Michael J. Deodati
Hearing Site: New York, NY
| | $0 |
| 08-01099 | 03/27/2009 | Claimant(s): Donald Demmy
Claimant Lawyers(s): Jeffrey J. Scott
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): John V. McDermott
Arbitrator(s): Samuel E. Wing, Gerald K. Moore, Mary C. Davis
Hearing Site: Denver, CO
| | $0 |
| 07-01495 | 03/23/2009 | Claimant(s): Phillip Rein
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): M. Jane Matoesian
Arbitrator(s): Edwin R. Cohen, Michael L. Lyons, Albert J. Haller
Hearing Site: St. Louis, MO
| | $220,944 |
| 08-01561 | 01/02/2009 | Claimant(s): Camille Parrella
Claimant Lawyers(s): Karen J. Van Ingen
Respondent(s): Stifel, Nicolaus & Co.., John Gallagher, Ryan Beck & Co., Stifel Financial Corp.
Respondent Lawyers(s): Joseph C. Rosa
Arbitrator(s): Aaron Tyk
Hearing Site: New York, NY
| | $0 |
| 07-02585 | 09/30/2008 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Aaron R. Hartman
Respondent(s): Andrew Bjornlie, James Bjornlie, RBC Dain Rauscher.
Respondent Lawyers(s): Peter J. Meyer
Arbitrator(s): Judith A. Rogosheske, James A. Lundberg, Gary L. Hansen
Hearing Site: Minneapolis, MN
| | |
| 07-02976 | 09/15/2008 | Claimant(s): Mary Sammelman
Claimant Lawyers(s): Steven Koslovsky
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Carrie J. Bechtold
Arbitrator(s): Michael L. Lyons, Sean Patrick Abernathy, Stuart W. Smith
Hearing Site: St. Louis, MO
| | $0 |
