| 23-01074 | 05/23/2024 | Claimant(s): Kay Klein, Roy Klein
Claimant Lawyers(s): Christopher Lufrano
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Rebecca Swenson
Arbitrator(s): Sal Presti, Gregory G. Gocek, Debra J. Tucker
Hearing Site: Chicago, IL
|  | Expungement |
| 22-02295 | 07/18/2023 | Claimant(s): Cynthia Farnsworth
Claimant Lawyers(s): Linda D. Friedman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Sal Presti
Hearing Site: Milwaukee, WI
| | |
| 19-00016 | 10/05/2022 | Claimant(s): Arthur Olson
Claimant Lawyers(s): James J. Moylan
Respondent(s): Morgan Stanley & Co., Kenneth Camarella, Paula Epstein
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Ray J. Grzebielski, Sal Presti, Michael R. Sherwin
Hearing Site: Chicago, IL
| | $0 |
| 21-00941 | 10/13/2021 | Claimant(s): Alex Rucks
Claimant Lawyers(s): Nathan C. Volheim
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Frank J. Cuccio
Arbitrator(s): Sal Presti
Hearing Site: Chicago, IL
| | $175 |
| 17-02795 | 02/14/2019 | Claimant(s): Carol Brink
Claimant Lawyers(s): Lydia M. Floyd
Respondent(s): Sigma Financial Corporation
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): Sal Presti, Debra Granat Grudichak, Mark W Solock
Hearing Site: Chicago, IL
| | Expungement |
| 17-01353 | 02/27/2018 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Manoj R. Andalkar
Respondent(s): Mark Flanagan
Respondent Lawyers(s): Mark Joseph Flanagan
Arbitrator(s): Sal Presti
Hearing Site: Chicago, IL
| | |
| 13-02536 | 12/18/2017 | Claimant(s): International MetalsTrading & Investment
Claimant Lawyers(s): Bill Perry
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Juli Aylesworth
Arbitrator(s): Peter Ordower, Donald M. Thompson, Sal Presti
Hearing Site: Chicago, IL
| | $0 |
| 15-03181 | 03/14/2017 | Claimant(s): Gary Matt
Claimant Lawyers(s): John Muldoon
Respondent(s): Anthony Minerva, James Bernthal, Wesley Clinton
Respondent Lawyers(s): Anthony Minerva, James Rhys Bernthal, Wesley Owen Clinton
Arbitrator(s): John D. Crawford, Sal Presti, Robert J. Albers
Hearing Site: Chicago, IL
| | Expungement |
| 15-02478 | 11/18/2016 | Claimant(s): Craig Urban
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Anna Wermuth
Arbitrator(s): Ray J. Grzebielski, Sal Presti, David J. Dahl
Hearing Site: Chicago, IL
| | |
| 07-02782 | 08/08/2012 | Claimant(s): Bruce Lowen
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Thomas Solomon, Questar Capital Corporation
Respondent Lawyers(s): Julie H. Firestone, Thomas Solomon
Arbitrator(s): Edward M. Olson, Sal Presti, John Thomas Sepp
Hearing Site: Detroit, MI
| | $18,171 |
