| 12-03042 | 01/30/2014 | Claimant(s): Joaquin Monserrate-Matienzo, Roxana Matienzo-Carrion
Claimant Lawyers(s): David R. Chase
Respondent(s): Popular Securities.
Respondent Lawyers(s): Nathan W. Lamb
Arbitrator(s): Steven Gerard Goerke, Michael Lau, Raymond W. Snow
Hearing Site: San Juan, PR
|  | $0 |
| 12-01353 | 12/13/2013 | Claimant(s): Broadus Oil Corporation
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Jeremy Ftacek, Invest Financial Corporation
Respondent Lawyers(s): Nathan W. Lamb
Arbitrator(s): Kevin J. Conway, Lynn Hirschfeld Brahin, Jonathan B. Gilbert
Hearing Site: Chicago, IL
| | Expungement |
| 12-00764 | 11/20/2013 | Claimant(s): Ronnie Erickson, Stacy Erickson, Ronnie & Stacy Erickson Charitable Trust, Ronnie L. Erickson Trust, Stacy L. Erickson Trust
Claimant Lawyers(s): Kristina L. Carlson
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Nathan W. Lamb
Arbitrator(s): Robert S. Burk, David A. Peterson, Susan M. Sanger
Hearing Site: Minneapolis, MN
| | $6,157,880 |
