| 14-02731 | 01/29/2018 | Claimant(s): Maemar Holdings Corp.
Claimant Lawyers(s): Harold D. Vicente-Colon
Respondent(s): Jose Ramos Rios, Popular Securities
Respondent Lawyers(s): Nathan W. Lamb
Arbitrator(s): James W. Geiger, Brian P. Jakes, George Pinckney Shingler
Hearing Site: San Juan, PR
|  | Expungement |
| 14-00886 | 10/09/2015 | Claimant(s): Carmen Buono Colon
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Popular Securities, Santander Securities LLC
Respondent Lawyers(s): Nathan W. Lamb, Sara L. Velez-Santiago
Arbitrator(s): James W. Geiger, William H. Fleece, Robert Jerry Strader
Hearing Site: San Juan, PR
| | Expungement |
| 14-01263 | 10/08/2015 | Claimant(s): Fideicomiso Lalmfc Trust
Claimant Lawyers(s): Lutgardo Acevedo Lopez
Respondent(s): Popular Securities
Respondent Lawyers(s): Nathan W. Lamb
Arbitrator(s): Steven P. Gregory, Harry G. Mason, Sydney E. Blum
Hearing Site: San Juan, PR
| | $0 |
| 13-02405 | 12/03/2014 | Claimant(s): Beverley Scott
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): David Park
Respondent Lawyers(s): Nathan W. Lamb
Arbitrator(s): Gerald F. Corrigan, Robin Carr, Cheryl Marie Allain-Mee
Hearing Site: Los Angeles, CA
| | $0 |
| 13-01951 | 10/08/2014 | Claimant(s): Willie Cabbil
Claimant Lawyers(s): Andrew Stoltmann
Respondent(s): David Miller, Eileen Fannon, Kelly Miller, Laura Tedball, Resource Horizons Group
Respondent Lawyers(s): Nathan W. Lamb
Arbitrator(s): James Edward Seale, Neil Harvey Smith, Orville Barrington Wright
Hearing Site: Birmingham, AL
| | $355,230 |
| 12-02251 | 02/14/2014 | Claimant(s): Heinz Kloppenberg
Claimant Lawyers(s): Andrew Stoltmann
Respondent(s): SII Investments.
Respondent Lawyers(s): Nathan W. Lamb
Arbitrator(s): David J. Langseth, Josette Belvedere, Stephen M. Slavin
Hearing Site: Chicago, IL
| | Expungement |
| 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 |
