| 23-02882 | 08/26/2024 | Claimant(s): Dan Wagner
Claimant Lawyers(s): Nathan W. Lamb
Respondent(s): Arkadios Capital
Respondent Lawyers(s): Gary Schwartz
Arbitrator(s): Harvey R. Linder
Hearing Site: Columbia, SC
| | |
| 23-02889 | 07/29/2024 | Claimant(s): Jeannette Adcock
Claimant Lawyers(s): Nathan W. Lamb
Respondent(s): Wintrust Investments LLC
Respondent Lawyers(s): Melvin G. Moseley
Arbitrator(s): Theodore W. Wrobleski
Hearing Site: Chicago, IL
| | |
| 23-02849 | 06/14/2024 | Claimant(s): Gordon Davis
Claimant Lawyers(s): Nathan W. Lamb
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Richard S. Zaifert
Hearing Site: Raleigh, NC
| | |
| 23-02775 | 05/21/2024 | Claimant(s): James Shuttleworth
Claimant Lawyers(s): Nathan W. Lamb
Respondent(s): Thrivent Investment Management Inc.
Respondent Lawyers(s): Shannon M. Wheaton
Arbitrator(s): David Adams Reif
Hearing Site: Hartford, CT
| | |
| 23-02923 | 04/02/2024 | Claimant(s): Jaime Toro Lavergne
Claimant Lawyers(s): Nathan W. Lamb
Respondent(s): Popular Securities.
Respondent Lawyers(s): Mariela M. Ramirez-Morales
Arbitrator(s): Steven Gerard Goerke
Hearing Site: San Juan, PR
| | |
| 22-02941 | 07/11/2023 | Claimant(s): William Mitchell
Claimant Lawyers(s): Nathan W. Lamb
Respondent(s): Transamerica Financial Advisors.
Respondent Lawyers(s): Susan D. Duff
Arbitrator(s): Robert David Epstein
Hearing Site: Cincinnati, OH
| | |
| 18-03640 | 12/20/2022 | Claimant(s): Felipe Benedit Bueno, Janette Lindenmann, Benedit Holdings Co.
Claimant Lawyers(s): Robert Wayne Pearce
Respondent(s): Popular Securities.
Respondent Lawyers(s): Nathan W. Lamb
Arbitrator(s): Andrea U. Calve, G. Dennis Sheehan, Victor Calderon
Hearing Site: San Juan, PR
|  | Expungement |
| 15-00675 | 01/29/2019 | Claimant(s): Luis Colon Martinez
Claimant Lawyers(s): Normarie Rodriguez-Perez
Respondent(s): Popular Securities
Respondent Lawyers(s): Nathan W. Lamb
Arbitrator(s): William H. Fleece, A.J. Seier, Joseph A Newcomb
Hearing Site: San Juan, PR
| | Expungement |
| 16-01956 | 12/12/2018 | Claimant(s): Reliance Manufacturing.
Claimant Lawyers(s): Gino Negretti
Respondent(s): Popular Securities
Respondent Lawyers(s): Nathan W. Lamb
Arbitrator(s): Steven Gerard Goerke, Juan Antonio Suarez Rodriguez, Frances D. Jimenez
Hearing Site: San Juan, PR
| | $0 |
| 15-02330 | 03/28/2018 | Claimant(s): Ana Cadilla, Fideicomiso Arturo J. Cadilla
Claimant Lawyers(s): Eric Quetglas-Jordan, Luis E. Minana
Respondent(s): Popular Securities
Respondent Lawyers(s): Nathan W. Lamb
Arbitrator(s): Bernard A. Becker, Jane C. Carney, Marta A. Rivera Figueroa
Hearing Site: San Juan, PR
| | $250,000 |
