| 20-03203 | 08/02/2021 | Claimant(s): Ari Spar
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Paul Klein
Arbitrator(s): William G. Binckes
Hearing Site: New York, NY
| | |
| 20-02669 | 06/03/2021 | Claimant(s): William Herf
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Paul Klein
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
| | |
| 17-03225 | 07/06/2020 | Claimant(s): Eza Cattan, Lisa Cattan
Claimant Lawyers(s): David B Newman
Respondent(s): Gary Adkin, John Cregan, Jonathan Harris, Stifel, Nicolaus & Co.., Rebecca Mora
Respondent Lawyers(s): Eric D. Martin
Arbitrator(s): Keely D. Parr, Cheryl H. Agris, Matthew Fenster
Hearing Site: New York, NY
|  | Settlement |
| 18-02824 | 03/23/2020 | Claimant(s): Vito R Buzzotta and Merle L Buzzotta JT
Claimant Lawyers(s): David S. Corwin
Respondent(s): John Russell, Stifel, Nicolaus & Co..
Respondent Lawyers(s): Donald D. McBride, John Hein
Arbitrator(s): Albert J. Haller, James M. Stern, Margaret Ann Kwawer
Hearing Site: St. Louis, MO
| | $800,000 |
| 19-02400 | 03/16/2020 | Claimant(s): Timothy Metcalf
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Lauren Beckman
Arbitrator(s): Mary M. O'Neil
Hearing Site: Los Angeles, CA
| | |
| 18-04085 | 03/02/2020 | Claimant(s): Cathy Mina, IRA, Louis Mina IRA, Cathy R. Mina, Rev. Trust
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Craig D. Stein
Arbitrator(s): Gary M. Landau, David P. Slater, Robert Stanley Zack
Hearing Site: Boca Raton, FL
| | $0 |
| 18-04121 | 02/18/2020 | Claimant(s): Rosemary Lanzo
Claimant Lawyers(s): Michael J. Betts
Respondent(s): John Lisowski, Stifel, Nicolaus & Co..
Respondent Lawyers(s): Stanley Yorsz
Arbitrator(s): Barry Goldman, Michael S. Berman, John Joseph Neely
Hearing Site: Pittsburgh, PA
| | $500,000 |
| 18-03187 | 11/21/2019 | Claimant(s): Ann Ginsberg, Gene Ginsberg, Gene H. Ginsberg & Ann R. Ginsberg Trust
Claimant Lawyers(s): David A Conti
Respondent(s): Stifel, Nicolaus & Co.., Lawrence Delhagen, Michael O'Keefe
Respondent Lawyers(s): Gerry Kowalski
Arbitrator(s): Mark H. Stein, Patrick R. Westerkamp, Gerard Thompson
Hearing Site: Philadelphia, PA
| | $0 |
| 19-01205 | 10/31/2019 | Claimant(s): Mark Elston
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Julie Flynn
Arbitrator(s): Helen Marinak Blohm
Hearing Site: Reno, NV
| | |
| 17-03299 | 10/03/2019 | Claimant(s): Michael Stern, Paul Levin, Wendy Stern, Estate of Gloria Levin
Claimant Lawyers(s): Daniel J. Miller
Respondent(s): Kenneth Blumberg, Stifel, Nicolaus & Co..
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): Edward J. Gutman, Catherine Esther Bocskor, John Leslie Coker
Hearing Site: Baltimore, MD
| | $1,524,180 |
