17-01369 | 07/18/2019 | Claimant(s): Ajay Ahuja, Nicholas Ahuja, Dr. Ajay Ahuja Deutsche Bank IRA Account Claimant Lawyers(s): David E.. Robbins Respondent(s): Deutsche Bank Securities., David Fleming, Stifel, Nicolaus & Co.., Sterne, Agee & Leach. Respondent Lawyers(s): David Wilson Fleming, Richard H. Kuhlman, Toby S. Soli Arbitrator(s): Rory M. McLaughlin, Steven C. Kasarda, Suzanne L. Ulicny Hearing Site: New York, NY
| | $793,605 |
17-00820 | 06/25/2019 | Claimant(s): Joseph Scaniffe Claimant Lawyers(s): David J. Freniere Respondent(s): Anastasios Belesis, John Belesis, Marc Greenberg, Brookville Capital Partners, John Thomas Financial, Sterne, Agee & Leach. Respondent Lawyers(s): Anthony Varbero, Gabriel Iezzoni, George D. Sullivan, Marc Greenberg, Maria Cummings, Seth Huberman Arbitrator(s): Steven R. Rolnick, Philip S. Wellman, Mark Stuart Gurevitz Hearing Site: Hartford, CT
| | $200,000 |
18-02757 | 05/10/2019 | Claimant(s): Anthony Markovic Claimant Lawyers(s): Anthony L. Markovic Respondent(s): Sterne, Agee & Leach. Respondent Lawyers(s): George D. Sullivan Arbitrator(s): Sandra Gale Behrle, David I. Goldblatt, Nunzio Garzino Hearing Site: New York, NY
| | Dismissed by Rule 12206/12504 |
16-01784 | 03/22/2019 | Claimant(s): Anne Grey Claimant Lawyers(s): Evan H. Frederick Respondent(s): Anthony Grey, Sterne, Agee & Leach. Respondent Lawyers(s): Julie W. Portera, Phillip J. Snyderburn Arbitrator(s): Susanne J. Hollander, Kenrick Albert Pratt, Lynn Francia Nelson Hearing Site: Orlando, FL
| | $400,000 |
14-00855 | 11/10/2014 | Claimant(s): Nathan Bedell Claimant Lawyers(s): M. Lee Johnsey Respondent(s): Sterne, Agee & Leach. Respondent Lawyers(s): Kelly Brennan Bolvig Arbitrator(s): Paul Lilling, Daniel P. Lund, Robert G. Bannon Hearing Site: Orlando, FL
| | Expungement |
12-02303 | 06/19/2013 | Claimant(s): Ahmad Shah Jalil, Shah S. Jalil C/F Maurie S. Jalil UTTMA, Shah S. Jalil C/F Sarah E. Jalil UTTMA Claimant Lawyers(s): Charles M. Thompson Respondent(s): BBVA Compass Investment Solutions, Sterne, Agee & Leach. Respondent Lawyers(s): M. Lee Johnsey, Rebecca A. Beers Arbitrator(s): Earle J. Schwarz, Debra Black Leo, Stephen Edward Cundiff Hearing Site: Birmingham, AL
| | Expungement |
09-00175 | 11/01/2010 | Claimant(s): James Fellus Claimant Lawyers(s): Jonathan Sack Respondent(s): Sterne, Agee & Leach. Respondent Lawyers(s): Latanishia D. Watters Arbitrator(s): James Francis Donovan, Todd Edward Phillips, J. Wesley Romine Hearing Site: Birmingham, AL
| | |
09-04884 | 10/14/2010 | Claimant(s): Chester Zoeller Claimant Lawyers(s): James P. McCrocklin Respondent(s): Richard Mitchell, Sterne, Agee & Leach. Respondent Lawyers(s): Stephen L. Poer Arbitrator(s): R. Van Young, Robert M. Bath, Stephen Ronald Crissey Hearing Site: Louisville, KY
| | $0 |
09-00176 | 06/28/2010 | Claimant(s): Kevin Dirussa Claimant Lawyers(s): Jonathan Sack Respondent(s): Sterne, Agee & Leach. Respondent Lawyers(s): Stephen L. Poer Arbitrator(s): Louis H. Miron, Marvin Schleyer, Daniel P. Lund Hearing Site: Newark, NJ
| | |
09-04067 | 03/02/2010 | Claimant(s): Cleveland Foret, Joan Foret Claimant Lawyers(s): James F. Willeford Respondent(s): Legg Mason Wood Walker, Sterne, Agee & Leach. Respondent Lawyers(s): Jason W. Gaarder, Meredith Jowers Lees Arbitrator(s): Robert H. Putnam, Michael T. Nobile, William Gilbert Faulk Hearing Site: New Orleans, LA
| | Dismissed by Rule 12206 |