| 23-00395 | 04/08/2024 | Claimant(s): Ve Ngo
Claimant Lawyers(s): Emahn Counts
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Steven Gourley
Hearing Site: Los Angeles, CA
|  | $134,751 |
| 23-03278 | 03/26/2024 | Claimant(s): Marianne Kuhlow
Claimant Lawyers(s): Michael J. Betts
Respondent(s): Alexander Hall, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s):
Hearing Site: Cleveland, OH
| | $600 |
| 21-02852 | 03/14/2024 | Claimant(s): Anthony DiDonna
Claimant Lawyers(s): Anthony Vincent DiDonna
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Rebecca E. Swenson
Arbitrator(s): Linda Yarden, Keely D. Parr, Nancy Marie Thevenin
Hearing Site: New York, NY
| | $0 |
| 22-01795 | 03/06/2024 | Claimant(s): Anne Blazey
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Rebecca E. Swenson
Arbitrator(s): Christopher J. Klein, Lisa J. Cappalli, Tyrone Nathaniel Watson
Hearing Site: Orlando, FL
| | Expungement |
| 23-02242 | 02/12/2024 | Claimant(s): Jonathan Socha
Claimant Lawyers(s): Jonathan Socha
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Rebecca Swenson
Arbitrator(s): Andrew M. Mintzer
Hearing Site: Denver, CO
| | $0 |
| 22-02116 | 02/02/2024 | Claimant(s): Dean Reeves
Claimant Lawyers(s): William Thomas Lacy
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Rebecca Swenson
Arbitrator(s): Harry G. Mason
Hearing Site: Atlanta, GA
| | $0 |
| 22-02918 | 01/29/2024 | Claimant(s): Carlos Tobon
Claimant Lawyers(s): Steven J. Weintraut
Respondent(s): Fidelity Brokerage Services LLC, National Financial Services LLC
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Douglas J. Nesbit
Hearing Site: Minneapolis, MN
| | $4,000 |
| 22-02375 | 01/19/2024 | Claimant(s): Lana Baselt, Estate of Randall Baselt
Claimant Lawyers(s): Jared Peterson
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Scott E. Rahn
Arbitrator(s): Joseph Howard Cooper, Erik R. Siering, Olivia J. Valentine
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12212© and 12511(b) |
| 23-02157 | 01/18/2024 | Claimant(s): Eric Johnson
Claimant Lawyers(s): Eric Johnson
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Kevin S. Blume
Arbitrator(s): Guillermo L. Bosch
Hearing Site: Philadelphia, PA
| | $0 |
| 22-02485 | 12/19/2023 | Claimant(s): William Repicci, The William J. Repicci IRA, The William J. Repicci Roth IRA
Claimant Lawyers(s): Dietrich Peter Epperson
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Rebecca E. Swenson
Arbitrator(s): Kent L. Benziger
Hearing Site: New York, NY
| | $0 |
