| 13-02950 | 07/16/2015 | Claimant(s): The Polk Family 2000 Descendants Trust
Claimant Lawyers(s): Jerald L. Moss
Respondent(s): Stifel, Nicolaus & Co.., Kenneth Reeves
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Jason C. Blackford
Hearing Site: Cleveland, OH
|  | $143,470 |
| 13-03576 | 07/08/2015 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Ken M. Fitzgerald
Respondent(s): James Wohlford, Penney Sick
Respondent Lawyers(s): D. Greg Durbin, Ken M. Fitzgerald
Arbitrator(s): Arthur T. Berggren, Kevin Joseph Pilon, Ethan Joseph Brown
Hearing Site: Los Angeles, CA
| | |
| 13-01058 | 04/29/2015 | Claimant(s): First Midstate Incorporated
Claimant Lawyers(s): David A. Genelly
Respondent(s): Stifel, Nicolaus & Co.., Kevin Heid
Respondent Lawyers(s): Richard H. Kuhlman
Arbitrator(s): Robert S. Sugarman, Susan L. Walker, Harvey R. Herman
Hearing Site: Chicago, IL
| | |
| 12-02897 | 03/31/2015 | Claimant(s): Tracy Gilbert
Claimant Lawyers(s): Tad McCraney
Respondent(s): Stifel, Nicolaus & Co.., Lanis Noble
Respondent Lawyers(s): Shepherd D. Tate
Arbitrator(s): Susan F. Drogin, John J. Meyer, Douglas E. Miller
Hearing Site: Jackson, MS
| | $1,542,340 |
| 13-03376 | 10/02/2014 | Claimant(s): Karen Newbery, IRA
Claimant Lawyers(s): Benjamin B. Segel
Respondent(s): Stifel, Nicolaus & Co.., James Culver
Respondent Lawyers(s): James Browning, Keith M. Lahay
Arbitrator(s): Charles D. Underwood
Hearing Site: Columbus, OH
| | $0 |
| 14-01320 | 09/19/2014 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Franklin S. Bennett
Respondent(s): Patrick Hudec
Respondent Lawyers(s): Karl E. May
Arbitrator(s): Gary B. Deutsch
Hearing Site: Cleveland, OH
| | |
| 13-03019 | 09/08/2014 | Claimant(s): Chris Rones
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): David J. Langseth, Mitchell Lee Marinello, Thomas P. Valenti
Hearing Site: Chicago, IL
| | $0 |
| 11-04589 | 07/29/2014 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): John D. Giansello
Respondent(s): Craig Forster
Respondent Lawyers(s): Ruthann Granito Niosi
Arbitrator(s): John Daly
Hearing Site: New York, NY
| | |
| 13-00554 | 06/30/2014 | Claimant(s): Michael De Peaux
Claimant Lawyers(s): Thomas W. Pleasant
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Ralph M. Goren, Stanley H. Michelstetter, Mark A. Frankel
Hearing Site: Milwaukee, WI
| | $0 |
| 12-03523 | 05/09/2014 | Claimant(s): Sean Horrigan
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Shepherd D. Tate
Arbitrator(s): Richard E. Lauziere, Jane C. Carney, William P. Borduin
Hearing Site: Baltimore, MD
| | |
