| 14-00017 | 12/22/2016 | Claimant(s): Robert McCrary, Robert L. McCrary, IRA
Claimant Lawyers(s): Martin M. Green
Respondent(s): Stifel, Nicolaus & Co.., Neil Harrison, Roger Compton
Respondent Lawyers(s): James C. Browning, Jr., Neil R. Harrison
Arbitrator(s): Robert J. Gryzmala, Joseph R. Soraghan, Albert J. Haller
Hearing Site: St. Louis, MO
|  | $25,884 |
| 16-01640 | 11/17/2016 | Claimant(s): Jane Schultz
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Jeffrey C. Primiano
Arbitrator(s): Richard E. Miley
Hearing Site: Charlotte, NC
| | $9,850 |
| 16-01341 | 11/08/2016 | Claimant(s): Patricia FitzPatrick, Henry B FitzPatrick Jr, Trust
Claimant Lawyers(s): Patricia F Donlon
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Jeffrey C. Primiano
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Philadelphia, PA
| | $0 |
| 16-00524 | 10/10/2016 | Claimant(s): Shari Osweiler Swartz
Claimant Lawyers(s): Shari Osweiler Swartz
Respondent(s): Stifel, Nicolaus & Co.., John Horton, Joshua Horton
Respondent Lawyers(s): Jeffrey C. Primiano
Arbitrator(s): Charles Scott McClellan
Hearing Site: Helena, MT
| | $0 |
| 15-02476 | 09/23/2016 | Claimant(s): Patricia White, William White, The White Living Trust Dated 3/14/1989
Claimant Lawyers(s): David Harrison
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Kendra Canape
Arbitrator(s): Kenneth E. Owen, Joseph Francis Young, Loyd A Wright
Hearing Site: Los Angeles, CA
| | $0 |
| 15-01096 | 08/25/2016 | Claimant(s): Camille Pisciotto
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Jeffrey C. Primiano
Arbitrator(s): Shelley Teitelbaum, Sandra J. Mullings, Noel B. Berman
Hearing Site: New York, NY
| | Expungement |
| 15-01145 | 08/10/2016 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Gerald Burns
Respondent(s): Christian Harkness
Respondent Lawyers(s): Stephen L. Morgan
Arbitrator(s): Michael F. Jordan, Terry F. Peppard, Laura Anne Lamberg
Hearing Site: Milwaukee, WI
| | |
| 16-00244 | 07/06/2016 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Jeffrey C. Primiano
Respondent(s): Arthur King
Respondent Lawyers(s): Arthur Kenneth King
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Birmingham, AL
| | |
| 14-01676 | 05/12/2016 | Claimant(s): Wedbush Securities Inc.
Claimant Lawyers(s): John L. Erikson
Respondent(s): Stifel, Nicolaus & Co.., Gary Whinery
Respondent Lawyers(s): Joseph A. Dougherty
Arbitrator(s): Michael D. Weiner, Daniel B. MacLeod, John Robert Oreskovich
Hearing Site: Boise, ID
| | |
| 14-01297 | 04/20/2016 | Claimant(s): Robert Ritter
Claimant Lawyers(s): Peter A. Cantwell
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Amy L. Blaisdell
Arbitrator(s): David M. Seidner, Jonathan H. Krotinger, Paul E. Dahlman
Hearing Site: Reno, NV
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