FINRA Awards for Fidelity Investments Institutional Srvcs

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
20-03388	04/19/2021	Claimant(s): Daria Haidukova Claimant Lawyers(s): Daria Haidukova Respondent(s): Fidelity Brokerage Services LLC, Fidelity Investments Institutional Srvcs, UMB Financial Services. Respondent Lawyers(s): Eric D. Martin, Patrick S. Christensen Arbitrator(s): Joyce L. Hurley, Richard William DeWeese, Kendall C. Reed Hearing Site: Los Angeles, CA		Dismissed by Rule 12212
16-00808	08/04/2016	Claimant(s): Udo Freyhofer Claimant Lawyers(s): Udo H. Freyhofer Respondent(s): Jonathon Bult, Fidelity Investments Institutional Srvcs Respondent Lawyers(s): Deborah Gale Evans Arbitrator(s): Debra Black Leo Hearing Site: Birmingham, AL		$0
15-03106	07/19/2016	Claimant(s): Brendan Keohan Claimant Lawyers(s): Brendan Keohan Respondent(s): Fidelity Investments Institutional Srvcs Respondent Lawyers(s): Lauren E. Ingoldsby Arbitrator(s): Joseph J. Dougherty Hearing Site: Boston, MA		$0
08-03809	04/24/2009	Claimant(s): Lori Hartglass Claimant Lawyers(s): Lori Hartglass Respondent(s): Fidelity Brokerage Services LLC, Fidelity Investments Institutional Srvcs Respondent Lawyers(s): Erin K. Fair, Richelle S. Kennedy Arbitrator(s): Mark F. Raymond Hearing Site: Ft. Lauderdale, FL		$50