| 12-01503 | 05/22/2013 | Claimant(s): James Britt
Claimant Lawyers(s): James Britt
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Robert S. McConnell
Hearing Site: Phoenix, AZ
| | |
| 11-01487 | 06/28/2012 | Claimant(s): Jason Lowther
Claimant Lawyers(s): Steve A. Buchwalter
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Larry Haugaard, Donald A. Duncan, Robert Alan Merring
Hearing Site: Los Angeles, CA
| | |
| 10-04475 | 03/02/2012 | Claimant(s): Lanfive Associates, A Partnership, Lani McKinley Trust u/t/d 8/28/2007
Claimant Lawyers(s): Barry P. King
Respondent(s): Stifel, Nicolaus & Co.., Manuel Lozano, Raymond Reed
Respondent Lawyers(s): Chad Weaver, James C. Browning
Arbitrator(s): Robert W. Vernon, Robert Bruce MacDonald, Suzanne Viau Chamberlain
Hearing Site: Los Angeles, CA
|  | Expungement |
| 10-03472 | 11/15/2011 | Claimant(s): Daniel Hardy, Mary Spivey, Estate of Daniel Thomas Hardy, III, Estate of Susan Hardy Killgore
Claimant Lawyers(s): James F. Willeford, Jessica M. Vasquez
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Leonard E. Benade, Dale A. Kaliszeski, Simeon B. Reimonenq
Hearing Site: New Orleans, LA
| | Expungement |
| 10-02870 | 08/12/2011 | Claimant(s): Barbara Lynn, Barbara A. Lynn Trust
Claimant Lawyers(s): Roland M. Cavalier
Respondent(s): Brian Robb, Stifel, Nicolaus & Co.., John Peters
Respondent Lawyers(s): James C. Browning, Jr.
Arbitrator(s): Bert S Cliff, Jeffrey M. Bain, Kathleen Maher Zouhary
Hearing Site: Cleveland, OH
| | Stipulated Award and Expungement |
| 09-04933 | 03/31/2011 | Claimant(s): Barbara Cook, Barbara Bush Cook Living Trust
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): John N. Reidy, David B. Lacks, Joan M. Esserman
Hearing Site: St. Louis, MO
| | $42,675 |
| 09-05990 | 12/28/2010 | Claimant(s): Warren J. Meyer and Mary Ellen Meyer
Claimant Lawyers(s): Steven W. Koslovsky
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): David B. Lacks
Hearing Site: St. Louis, MO
| | $31,460 |
| 08-04505 | 07/22/2009 | Claimant(s): George O. Miles and Sharon K. Miles
Claimant Lawyers(s): George O. Miles
Respondent(s): Wachovia Securities, Gerald Rabin, Gregory Ek
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Murray S. Levin, W. Richard Keene, Michael J. Hunter
Hearing Site: Kansas City, MO
| | $0 |
| 08-00824 | 05/22/2009 | Claimant(s): David Yashon
Claimant Lawyers(s): David Yashon
Respondent(s): Brent Markley, Michael O'Dell, A.G. Edwards & Sons.
Respondent Lawyers(s): Deirdre Wolff, James C. Browning
Arbitrator(s): Jeffrey M. Bain, Charles D. Underwood, Erick R. Zanner
Hearing Site: Columbus, OH
| | $46,000 |
| 08-01002 | 05/20/2009 | Claimant(s): The Estate of Mary A. Musil
Claimant Lawyers(s): Richard A. Kutche
Respondent(s): Wachovia Securities, A.G. Edwards & Sons., Prudential Equity Group
Respondent Lawyers(s): James C. Browning, Kenneth Fuchs
Arbitrator(s): Dean J. Dietrich
Hearing Site: San Francisco, CA
| | $36,717 |
