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Locus Standi is a platform for the dispute-resolution world. It brings together arbitration, mediation and adjudication events, jobs and internships, and landmark arbitral awards explained in plain English, alongside the qualifications and pathways into the field. It was established in London at LIDW26 by the alumni of Queen Mary University of London.

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26-00307 Stifel, Nicolaus & Co., Inc. v. Francis Cunningham (FINRA Dispute Resolution Services)

Why it matters

Stifel, Nicolaus & Co., Inc. v. Francis Cunningham, decided in FINRA arbitration. In this case Stifel, Nicolaus & Co., Inc., a member firm, brought a claim against an individual (often a former employee or registered representative). For a student, it shows how FINRA arbitration works: the binding, largely private forum where the great majority of US securities disputes are resolved instead of the courts, with awards enforceable in court and open to challenge only on narrow grounds.

Summary

Stifel, Nicolaus & Co., Inc. v. Francis Cunningham: a FINRA arbitration award (case 26-00307), 06/03/2026. The panel's decision is set out in the award.

The detail

Parties: Stifel, Nicolaus & Co., Inc. v. Francis Cunningham

Case number: FINRA Case No. 26-00307

Outcome: Award for the claimant of $203,000.00.

Quantum: $203,000.00

Applicable law: FINRA Code of Arbitration Procedure; United States securities law; the parties' brokerage agreement.

Issues in play: An investor's or an industry member's claim, decided in FINRA's arbitration forum rather than the courts.

Read the full decision at FINRA Arbitration Awards Online ↗

Locus Standi links to the source decision and publishes its own plain-language summary. It does not reproduce the text of the award.

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