| 15-00216 | 08/18/2015 | Claimant(s): Lizabeth Smith
Claimant Lawyers(s): David Neuman
Respondent(s): Century Securities Associates.
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Robert L. Yeager
Hearing Site: Dallas, TX
|  | $0 |
| 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 |
| 13-03019 | 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 |
| 13-00490 | 08/07/2014 | Claimant(s): Steven Brodsky, Whitney Brodsky
Claimant Lawyers(s): Steven Brodsky
Respondent(s): Robert Macaluso
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Theresa Joan Rosenberg
Hearing Site: Raleigh, NC
| | Expungement |
| 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 |
| 13-00753 | 01/24/2014 | Claimant(s): Frank Cheli
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Bill Swinford
Hearing Site: Indianapolis, IN
| | Expungement |
| 12-03292 | 09/24/2013 | Claimant(s): Carmella DiMercurio
Claimant Lawyers(s): Mitchell D. Johnson
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Sharon R. Merriman
Hearing Site: St. Louis, MO
| | $62,501 |
| 12-01048 | 08/30/2013 | Claimant(s): Jacqueline Hayes
Claimant Lawyers(s): Jacqueline Hayes
Respondent(s): Curtis Triggs, Stifel, Nicolaus & Co..
Respondent Lawyers(s): Curtis William Triggs, James C. Browning
Arbitrator(s): Paul Lansing, Jack D. Olson, Phillip L. Wisely
Hearing Site: St. Louis, MO
| | $0 |
| 11-02093 | 06/20/2013 | Claimant(s): Robert Buser, Roseann Buser
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Keith E. Mattern, Frederick Michael Switzer, Joan M. Esserman
Hearing Site: St. Louis, MO
| | $0 |
| 11-04506 | 05/28/2013 | Claimant(s): Dana Lang
Claimant Lawyers(s): Lee Bowie
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Arthur W. Pigott, John G. Manley, James L. Warren
Hearing Site: Jackson, MS
| | $200,375 |
