| 17-01478 | 10/03/2018 | Claimant(s): Rose Leviton
Claimant Lawyers(s): Christopher J. Major
Respondent(s): David Cohen, Stifel, Nicolaus & Co.., Janney Montgomery Scott LLC
Respondent Lawyers(s): Edwin A. Zipf, Theodore R. Snyder
Arbitrator(s): Anna M. Fanelli, Martin A. Edelstein, Linda J. Baer
Hearing Site: New York, NY
|  | $0 |
| 18-00317 | 09/12/2018 | Claimant(s): Gail Schneider, Gail Schneider IRA
Claimant Lawyers(s): Robert H. Rex
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Craig D. Stein
Arbitrator(s): David P. Slater
Hearing Site: Boca Raton, FL
| | Expungement |
| 18-01717 | 09/07/2018 | Claimant(s): Stifel, Nicolaus & Co.., Keefe, Bruyette & Woods.
Claimant Lawyers(s): Jeffrey C. Primiano
Respondent(s): Duncan Preston
Respondent Lawyers(s): Duncan Preston
Arbitrator(s): William M. Getzoff
Hearing Site: St. Louis, MO
| | |
| 17-01293 | 08/27/2018 | Claimant(s): LeAnn Blackwell
Claimant Lawyers(s): Raymond Daniel Faust
Respondent(s): John Whitaker, Stifel, Nicolaus & Co.., City Securities Corporation
Respondent Lawyers(s): Richard Kuhlman
Arbitrator(s): Thomas F. Mahoney, Philip J. Glick, Tim V. Young
Hearing Site: Indianapolis, IN
| | $0 |
| 17-00712 | 06/06/2018 | Claimant(s): Kirk Nelson
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Steven M. Phillips
Arbitrator(s): Murray S. Levin, Philip J. Glick, Mary C. Davis
Hearing Site: Omaha, NE
| | $216,490 |
| 16-02511 | 03/27/2018 | Claimant(s): William Alford
Claimant Lawyers(s): Carl E. Patrick
Respondent(s): G. Parry, Stifel, Nicolaus & Co..
Respondent Lawyers(s): Dennis J. Concilla
Arbitrator(s): Ellen Holland Keller, Gregory G. Gocek, Richard S. Hines
Hearing Site: Cleveland, OH
| | $0 |
| 17-02271 | 01/23/2018 | Claimant(s): David Milan
Claimant Lawyers(s): David M. Milan
Respondent(s): Stifel, Nicolaus & Co.., Martin Stevens
Respondent Lawyers(s): Emily Garnett
Arbitrator(s): Kenneth J. Safran
Hearing Site: Detroit, MI
| | $13,500 |
| 16-02453 | 12/29/2017 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Andrew Shapren
Respondent(s): Jeffrey Olson
Respondent Lawyers(s): Aaron R. Hartman
Arbitrator(s): Brett W. Olander
Hearing Site: Minneapolis, MN
| | |
| 16-01680 | 11/24/2017 | Claimant(s): April Barnes, James Barnes
Claimant Lawyers(s): Jacob M. Merrill
Respondent(s): Stifel, Nicolaus & Co.., Marc Kozuki
Respondent Lawyers(s): Ben Suter
Arbitrator(s): John J. Fitzpatrick
Hearing Site: Honolulu, HI
| | $90,225 |
| 16-02217 | 11/07/2017 | Claimant(s): Benjamin Butera
Claimant Lawyers(s): David P. Meyer
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Craig D. Stein
Arbitrator(s): Stuart K. Furman, Thomas Joseph Atkinson, Lauren S. Puritz
Hearing Site: Orlando, FL
| | Expungement |
