23-00541 | 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): Gerald M. Levine Hearing Site: New York, NY
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23-01104 | 12/19/2023 | Claimant(s): Mark Matthes Claimant Lawyers(s): Craig D. Stein Respondent(s): Stifel, Nicolaus & Co.. Respondent Lawyers(s): James C. Browning Arbitrator(s): Paul Weinberg, William Kent Brown, Tiffany Ann Taylor Hearing Site: Boca Raton, FL
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19-02039 | 12/04/2023 | Claimant(s): Gables Capital Management. Claimant Lawyers(s): Jeffrey T. Foreman Respondent(s): Aaron Lupuloff, Stifel, Nicolaus & Co.., Jandra Lubovich, Jon Cooper, INTL FCStone Financial. Respondent Lawyers(s): Peter S. Fruin Arbitrator(s): Barth Satuloff, Paul B. Glantz, Nanci Sondra Landy Hearing Site: Boca Raton, FL
| | Expungement |
18-02134 | 10/05/2023 | Claimant(s): Rocky Vista University, Yife Tien Irrevocable Dynasty Trust Claimant Lawyers(s): Jonathan B. Butler Respondent(s): Aaron Lupuloff, Stifel, Nicolaus & Co.., Jandra Lubovich, Jon Cooper, Intl Fcstone Financial Inc. Respondent Lawyers(s): Peter S. Fruin Arbitrator(s): Meah Rothman Tell, Seth L. Finkel, Nanci Sondra Landy Hearing Site: Miami, FL
| | $0 |
20-02909 | 07/17/2023 | Claimant(s): Leslie Nelson Claimant Lawyers(s): Paul L. Vorndran Respondent(s): Stifel, Nicolaus & Co.., Randall Minas Respondent Lawyers(s): Kendra S. Canape Arbitrator(s): Carla B. Minckley, Carol L. Roslund, Tina Alison Davis Hearing Site: Denver, CO
| | Expungement |
22-02049 | 07/13/2023 | Claimant(s): Allen Markland, Carole Appleton, Danielle (Appleton) Caponigro, Deborah (Appleton) Gallant, John Markland, Robert Markland, Timothy Appleton Claimant Lawyers(s): William B. Young Respondent(s): Gerard Kelly, Stifel, Nicolaus & Co.. Respondent Lawyers(s): Craig Stein Arbitrator(s): Gary M. Landau, Robert Lawrence Ostrov, Lisa Jane Austein Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12206 |
21-01534 | 05/18/2023 | Claimant(s): Raymond Potter Claimant Lawyers(s): Kevin T. Hoffman Respondent(s): Stifel, Nicolaus & Co.. Respondent Lawyers(s): Lloyd S. Clareman Arbitrator(s): Leslie Ruth Nydick, Thomas M. Madden, Rick Rutman Hearing Site: New York, NY
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21-00606 | 12/21/2022 | Claimant(s): Mitchell Bublitz, IRA Claimant Lawyers(s): Michael MacDonald Respondent(s): Stifel, Nicolaus & Co.., Richard Schultz Respondent Lawyers(s): Julie H. Firestone Arbitrator(s): Jack D. Elmquist, Douglas J. Nesbit, Mary Louise Hilfiker Hearing Site: Minneapolis, MN
| | $1,000 |
21-02469 | 09/21/2022 | Claimant(s): Guy Deemer Claimant Lawyers(s): Brian Luther Respondent(s): Oppenheimer & Co.., Stifel, Nicolaus & Co.. Respondent Lawyers(s): John T. McGuire, Lauren Beekman Arbitrator(s): Richard W. Dissen, John J. Neely, David Michael Stabile Hearing Site: Pittsburgh, PA
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18-00229 | 07/28/2022 | Claimant(s): Estate of Elaine Falcigno Claimant Lawyers(s): Edmund Polubinski Respondent(s): Frederick Mueller, Stifel, Nicolaus & Co.. Respondent Lawyers(s): Edwin A. Zipf Arbitrator(s): Robert L. Chase, John J. Mager, April C. Teveris Hearing Site: Hartford, CT
| | $0 |