| 23-01270 | 11/08/2024 | Claimant(s): Douglas Muhlbauer, The Harbor Group of New York., The Harbor Group of South Florida., Harbor Group of South Florida. 401k, Harbor Group of South Florida. Cash, The Harbor Group of New York Inc. 401(K), The Harbor Group of New York. Cash, American Endowment Foundation FBO
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): V. Justin Arpey
Arbitrator(s): Allen Robin, Carl Henry Perdue, Richard Gendler
Hearing Site: Boca Raton, FL
|  | $2,348,860 |
| 23-01288 | 10/03/2024 | Claimant(s): Elizabeth Deluca, Louis Deluca, UBS.
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): G. Wayne Hillis
Arbitrator(s): John B. Sochacki, Stephanie Jeannette Charny, Gustavo Gutierrez
Hearing Site: Boca Raton, FL
| | $14,266,100 |
| 24-01274 | 09/13/2024 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Joseph Monaco
Respondent Lawyers(s): Joseph Anthony Monaco
Arbitrator(s): Bryan Lane Berson
Hearing Site: New York, NY
| | |
| 23-02240 | 05/22/2024 | Claimant(s): Gerard Kelly III
Claimant Lawyers(s): Craig Stein
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Steven M. Greenbaum, Layne Verebay, Edward R. Niederriter
Hearing Site: Boca Raton, FL
| | |
| 23-02274 | 05/02/2024 | Claimant(s): Robert Traitz
Claimant Lawyers(s): Brian Luther
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Sam Antar
Hearing Site: Jersey City, NJ
| | |
| 23-01961 | 03/15/2024 | Claimant(s): Mark Kennedy
Claimant Lawyers(s): Debra A Jenks
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Michael S. Matek
Hearing Site: Denver, CO
| | |
| 22-01176 | 02/26/2024 | Claimant(s): Marlin Andrews
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Stifel, Nicolaus & Co.., William Humber
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Debra Black Leo, Derry Olive Wilcox, Michael Tryon
Hearing Site: Birmingham, AL
| | $0 |
| 22-01875 | 02/23/2024 | Claimant(s): Daniel Labes
Claimant Lawyers(s): Christopher Kaye
Respondent(s): Stifel, Nicolaus & Co.., Loren Morrison
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): Jeffry M. Bauer, John Polakas, Michele Renee Zinn
Hearing Site: Detroit, MI
| | $0 |
| 22-02207 | 12/28/2023 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Craig Stein
Respondent(s): David Ferneding
Respondent Lawyers(s): David Jerome Ferneding
Arbitrator(s): Lawrence R. Maxwell
Hearing Site: Dallas, TX
| | |
| 23-00538 | 12/20/2023 | Claimant(s): Ghazaleh Ebrahimi
Claimant Lawyers(s): Thomas P. McEvoy
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Paul Klein
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
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