| 22-01714 | 06/04/2024 | Claimant(s): Chad Karl
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): WRP Investments.
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Kevin R. Zehe
Hearing Site: Pittsburgh, PA
| | |
| 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
| | |
| 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
| | |
| 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 |
| 15-00528 | 03/09/2016 | Claimant(s): Dennis Dai
Claimant Lawyers(s): Anna M. Rossi
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Sterling N. Frost, Mary H. Evans, John Burritt McArthur
Hearing Site: San Francisco, CA
| | |
| 13-03375 | 12/29/2015 | Claimant(s): Leda Sander, Georgetown Mortgage Corp., Sandra E. Sander IRA, Georgetown Mortgage Corp Profit Sharing, Harry Sander Trust, Sandra E. Sander Rev. Trust
Claimant Lawyers(s): Allen P. Press
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Michael L. Lyons, Joseph R. Soraghan, M. Eileen Dorsey
Hearing Site: St. Louis, MO
| | $0 |
| 15-00656 | 12/21/2015 | Claimant(s): Dolores Ottenad, William Ottenad
Claimant Lawyers(s): William L. Ottenad
Respondent(s): Stifel, Nicolaus & Co.., Phillip Carapella
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Joseph R. Soraghan
Hearing Site: St. Louis, MO
| | $12,800 |
| 14-03709 | 12/08/2015 | Claimant(s): Carolyn McCool, Joshua Nehring
Claimant Lawyers(s): William R. Fishman
Respondent(s): Stifel, Nicolaus & Co.., Duane Smith
Respondent Lawyers(s): Duane Ariel Smith, James C. Browning
Arbitrator(s): James Patrick Beck, Ronald G. Guida, Bruce J. Pederson
Hearing Site: Denver, CO
| | Expungement |
