| 12-02229 | 12/20/2012 | Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): Jennifer A. Kenedy
Respondent(s): Eric Savell
Respondent Lawyers(s): Oriet Cohen-Supple
Arbitrator(s): Linda M. McCoy, Vivian L. Kral, Mary Kay Higgins Crockett
Hearing Site: San Francisco, CA
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| 11-03937 | 09/21/2012 | Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): Jennifer A. Kenedy
Respondent(s): Brian Wilder, Morgan Stanley
Respondent Lawyers(s): Michael L. Chinitz
Arbitrator(s): John B. Kinsellagh, Stephen M. Acerra, Paul A. Auerbach
Hearing Site: Boston, MA
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| 11-01028 | 10/17/2011 | Claimant(s): Jason Guehl
Claimant Lawyers(s): Jason Robert Guehl
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Carole G. Miller
Arbitrator(s): Vaughn Thomas Hale, Joyce L. Hurley, Daniel David Kopman
Hearing Site: Los Angeles, CA
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| 08-04914 | 06/22/2011 | Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): Laurence K. Richmond
Respondent(s): James Miller
Respondent Lawyers(s): Lisa Boynton
Arbitrator(s): Robert W. Edler
Hearing Site: Chicago, IL
| | Stipulated Award |
| 10-05444 | 03/16/2011 | Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): Jennifer A. Kenedy
Respondent(s): Morgan Stanley, Stephen Beatty
Respondent Lawyers(s): David A. Stein, Joe Gehring
Arbitrator(s): Aubrey Lees, Mark J. Happe, Royce Russell
Hearing Site: New York, NY
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| 09-06229 | 01/21/2011 | Claimant(s): Roland Heidelberg
Claimant Lawyers(s): Roland B. Heidelberg
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Christian Aviza
Arbitrator(s): Lawrence R. Maxwell, W. Scott Newmann, Corbet F. Bryant
Hearing Site: Dallas, TX
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| 10-03020 | 01/14/2011 | Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): Jennifer A. Kenedy
Respondent(s): David LaMay, Essex Financial Services.
Respondent Lawyers(s): Richard Slavin, Robert A. Richardson
Arbitrator(s): Charles Franklin Willson, John Thomas Shaban, Edward Allison Downe
Hearing Site: Hartford, CT
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| 10-01781 | 07/01/2010 | Claimant(s): Fidelity Brokerage Services LLC, FMR LLC
Claimant Lawyers(s): Jennifer A. Kenedy
Respondent(s): Andrew Hermes, Steven O'connor, William Doepker
Respondent Lawyers(s): Grant S. Cowan
Arbitrator(s): Thomas C. Wagner, Emily J. Lewis, Miles D. Hart
Hearing Site: Cincinnati, OH
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| 08-04292 | 02/12/2010 | Claimant(s): Tyler Smith
Claimant Lawyers(s): Bradley Wm. Bowen
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Julia C. Webb
Arbitrator(s): Jesse Stuart Shackelford, Joel T. Marker, John G. Manley
Hearing Site: Salt Lake City, UT
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| 08-04230 | 08/26/2009 | Claimant(s): Pearlene Love
Claimant Lawyers(s): Pearlene Perry Love
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Corin R. Swift
Arbitrator(s): Robert L. Chisolm
Hearing Site: Dallas, TX
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