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FINRA Awards for Fidelity Brokerage Services LLC

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Displaying 10 out of 248 results
Case Number Award Date Case Summary Customer Case? Amount Granted
24-0050210/30/2024Claimant(s): Martin Shank, Susan Shank
Claimant Lawyers(s): Martin H. Shank
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Kevin S. Blume
Arbitrator(s): Peter Shapiro
Hearing Site: Boca Raton, FL
Checkmark Icon$0
24-0117810/30/2024Claimant(s): Mark Mann
Claimant Lawyers(s): Mark A. Mann
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Louis Charles Schmitt
Hearing Site: Cleveland, OH
Checkmark Icon$0
23-0348410/10/2024Claimant(s): Annmarie Cronin
Claimant Lawyers(s): Michael J. DeSantis
Respondent(s): Fidelity Brokerage Services LLC, Empower Retirement LLC
Respondent Lawyers(s): Daniel C. Fleming, Rebecca E. Swenson
Arbitrator(s): Terrance J. Nolan
Hearing Site: New York, NY
Checkmark Icon$39,731
23-0306810/08/2024Claimant(s): Michael Loren Koehler IRA 401K Plan
Claimant Lawyers(s): Roberta Ann Koehler
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Erin Sinclair
Arbitrator(s): Douglas J. Nesbit, Phyllis Karasov, William M. Azkoul
Hearing Site: Minneapolis, MN
Checkmark Icon$300
23-0108708/27/2024Claimant(s): Scott Berenson
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Nancy J. Cliff, Richard Kuper, Nancy Rosenbaum Kessler
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
23-0152408/13/2024Claimant(s): David Pfanner
Claimant Lawyers(s): David Pfanner
Respondent(s): Katie Secker, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Shawn J. Gebhardt
Arbitrator(s): Robert J. Scafuri
Hearing Site: Cleveland, OH
Checkmark Icon$0
23-0107405/23/2024Claimant(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
Checkmark IconExpungement
23-0365505/13/2024Claimant(s): Valery Dunayevsky
Claimant Lawyers(s): Valery Dunayevsky
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Kevin Blume
Arbitrator(s): Peter E. Gillespie
Hearing Site: New York, NY
Checkmark Icon$300
22-0156805/06/2024Claimant(s): Marc Cedarleaf, Patricia Cedarleaf
Claimant Lawyers(s): Matt Williams
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Robert H. Putnam, Dana R. Krajack, William Finley Hamel
Hearing Site: Columbia, SC
Checkmark Icon$125,400
22-0184804/25/2024Claimant(s): X
Claimant Lawyers(s): Mark S. Gregory
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): Edward A. Trabin, Isaac K. Tasinga, Gecole L. Harley
Hearing Site: Los Angeles, CA
Checkmark Icon$0

248 Results

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