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FINRA Awards for Carol Denise Phelps

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Case Number Award Date Case Summary Customer Case? Amount Granted
15-0253602/23/2018Claimant(s): Angel Cruz Colon, Betzaida Hernandez, Carmen Ortiz Nevarez, Hector Rodriguez-Lopez, Myrna Rivera Marengo, William Reyes
Claimant Lawyers(s): Eric Quetglas-Jordan, Luis E. Minana, W. Scott Greco
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Nikolas S. Komyati, Roberto C. Quinones-Rivera
Arbitrator(s): James L. Warren, Theodore Haynes, Carol Denise Phelps
Hearing Site: San Juan, PR
Checkmark Icon$521,075
13-0141308/07/2014Claimant(s): Stephen Vaughn
Claimant Lawyers(s): Jahan K. Manasseh
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Andrew R. Park
Arbitrator(s): Deborah A. Jackson, Carol Denise Phelps, Samuel Appel
Hearing Site: Atlanta, GA
Checkmark IconExpungement

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