| 14-00862 | 02/18/2016 | Claimant(s): Carmelo Nieves, Nelly Cruz, Caguas Mechanical Contrators
Claimant Lawyers(s): Francisco Pujol, Harold D. Vicente-Colon, Samuel B. Edwards
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc Of P R
Respondent Lawyers(s): Joel M. Everest, Roberto Quinones-Rivera
Arbitrator(s): Barry David Thorpe, Brian James Tagtmeier, Frank A. Little, Jr.
Hearing Site: San Juan, PR
|  | Expungement |
| 09-06699 | 12/14/2011 | Claimant(s): National Securities Corporation, Thomas Kelly
Claimant Lawyers(s): Timothy Feil
Respondent(s): D. Dorsey
Respondent Lawyers(s): Bruce V. Schewe
Arbitrator(s): Frederick S. Duncan, Mark A. Myers, Frank A. Little, Jr.
Hearing Site: New Orleans, LA
| | $72,312 |
| 09-04093 | 03/08/2011 | Claimant(s): Emmett Carter
Claimant Lawyers(s): W. Andrew Clayton
Respondent(s): James Holdman, Penson Financial Services.
Respondent Lawyers(s): MacAllynn J. Achee, Mark G. Hanchet
Arbitrator(s): Daniel Eugene Bivins, Frederick S. Duncan, Frank A. Little, Jr.
Hearing Site: New Orleans, LA
| | $869,170 |
