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FINRA Awards for Diane M. Brown

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Displaying 9 out of 9 results
Case Number Award Date Case Summary Customer Case? Amount Granted
09-0434002/09/2010Claimant(s): Jorge A Perez
Claimant Lawyers(s): Jorge A. Perez
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Diane M. Brown
Arbitrator(s): George R. Canty
Hearing Site: Ft. Lauderdale, FL
Checkmark Icon$25,425
09-0404002/09/2010Claimant(s): Susan Ryan
Claimant Lawyers(s): Susan Ryan
Respondent(s): Angela Gray, Angela Lenehan, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Diane M. Brown
Arbitrator(s): Susan E. Maloney
Hearing Site: Boston, MA
Checkmark Icon$163
09-0433702/09/2010Claimant(s): Jorge A. Perez, MaryEllen Zondorak Perez
Claimant Lawyers(s): Jorge A Perez
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Diane M. Brown
Arbitrator(s): Michael J. Fingar
Hearing Site: Ft. Lauderdale, FL
Checkmark Icon$213
09-0102011/24/2009Claimant(s): John Stahl
Claimant Lawyers(s): John K Stahl
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Diane M. Brown
Arbitrator(s): James H. Bowersox
Hearing Site: San Diego, CA
Checkmark Icon$213
09-0061707/22/2009Claimant(s): James Barron
Claimant Lawyers(s): James Barron
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Diane M. Brown
Arbitrator(s): Lucy J. Karl
Hearing Site: Boston, MA
Checkmark Icon$0
09-0056107/20/2009Claimant(s): Barbara Tutt
Claimant Lawyers(s): David M. Tutt
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Diane M. Brown
Arbitrator(s): Stuart M. Widman
Hearing Site: Chicago, IL
Checkmark Icon$9,613
08-0450906/15/2009Claimant(s): David Rothschild
Claimant Lawyers(s): David J. Rothschild
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Diane M. Brown
Arbitrator(s): Marilee Roberg
Hearing Site: Chicago, IL
Checkmark Icon$0
08-0100904/16/2009Claimant(s): Cass Shewbart
Claimant Lawyers(s): Cass Shewbart
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Diane M. Brown
Arbitrator(s): George A. Sellnau
Hearing Site: Houston, TX
Checkmark Icon$5,213
08-0141411/26/2008Claimant(s): Clarence Rinderle
Claimant Lawyers(s): Clarence G. Rinderle
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Diane M. Brown
Arbitrator(s): Gary P. Price
Hearing Site: Indianapolis, IN
Checkmark Icon$325

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