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FINRA Awards for Fidelity Investments Institutional Srvcs

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Case Number Award Date Case Summary Customer Case? Amount Granted
21-0139504/26/2022Claimant(s): Harmon Kong
Claimant Lawyers(s): Harris Freedman
Respondent(s): Fidelity Investments Institutional Srvcs
Respondent Lawyers(s): Thomas M. McHugh
Arbitrator(s): Kenneth E. Owen
Hearing Site: Los Angeles, CA
15-0005804/19/2017Claimant(s): Bethany Pagnani, Michael Rollins
Claimant Lawyers(s): Joseph H. Spiegel
Respondent(s): James Furlong, Fidelity Brokerage Services LLC, Fidelity Investments Institutional Srvcs, Roger Trapp
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Timothy J. Currier, Patrick R. Sughroue, Eugene Kenneth Laporte
Hearing Site: Detroit, MI

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