| 22-00164 | 05/05/2023 | Claimant(s): Steven Kurzet
Claimant Lawyers(s): Scott A. Shanes
Respondent(s): Fidelity Brokerage Services LLC, National Financial Services LLC
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Joseph Winter, Jay H. Feldstein, Richard Kent Mahrle
Hearing Site: Las Vegas, NV
|  | $0 |
| 21-02621 | 05/03/2023 | Claimant(s): Richard Westfall
Claimant Lawyers(s): Michael S. Hill
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Lynne M. Gomez
Hearing Site: Oklahoma City, OK
| | Expungement |
| 22-02830 | 03/24/2023 | Claimant(s): James Holman
Claimant Lawyers(s): James P. Holman
Respondent(s): Fidelity Brokerage Services LLC, Ryan Furuta
Respondent Lawyers(s): Shawn J. Gebhardt
Arbitrator(s): M. Melvin Shralow
Hearing Site: Wilmington, DE
| | $300 |
| 19-02624 | 03/09/2023 | Claimant(s): Forrest Sweat, Susan Sweat, Forrest W. Sweat Jr SEP-IRA, Forrest W. Sweat Jr. Roth IRA, Forrest w. Sweat, Jr. Traditional IRA, Susan D Sweat Roth IRA, Susan D. Sweat Traditional IRA, Susan/Forrrest Sweat JROS WOD
Claimant Lawyers(s): Charles M Dalziel
Respondent(s): Anthony Mesquit, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Michael J. Ahlstrom, J.G. Long, William L. Rittenberg
Hearing Site: Atlanta, GA
| | $0 |
| 22-00665 | 03/02/2023 | Claimant(s): Timothy Cunningham
Claimant Lawyers(s): Timothy J. Cunningham
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Mary Mackey, Louis Anthony Napoli, D. Peter Gleichenhaus
Hearing Site: San Francisco, CA
| | $0 |
| 22-00309 | 02/15/2023 | Claimant(s): Lei Wang
Claimant Lawyers(s): Lei Wang
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Mario H. Metzger, Andrew M. Mintzer, Barry D. Kaye
Hearing Site: Los Angeles, CA
| | $40,375 |
| 21-02374 | 01/17/2023 | Claimant(s): Allen Wagner
Claimant Lawyers(s): Allen B. Wagner
Respondent(s): Kelly Behunin, Fidelity Brokerage Services LLC, Peter Lee, Puja Aggarwal, Robert Burge, FMR, Fidelity Personal & Workplace Advisors, Strategic Advisers LLC
Respondent Lawyers(s): Casey W. Jones, Noah D. Sorkin
Arbitrator(s): Mary Margaret Bush, Philip Aaron Tymon, Diane Duvall
Hearing Site: San Francisco, CA
| | Expungement |
| 20-01716 | 01/12/2023 | Claimant(s): Gary Sparago
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Patrick Christensen
Arbitrator(s): Richard E. Castiglioni
Hearing Site: New York, NY
| | $0 |
| 22-01757 | 12/23/2022 | Claimant(s): Mary Cimmet
Claimant Lawyers(s): Mary Lyon Cimmet
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Mary Kathleen Mackey
Hearing Site: San Francisco, CA
| | $225 |
| 21-02940 | 11/15/2022 | Claimant(s): Yvonne Lyon
Claimant Lawyers(s): Robert Persante
Respondent(s): James Evans, Fidelity Brokerage Services LLC, Ryan Patrick
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Mimi B. Osiason, Geoffrey Paul Nuckolls, Andrea M Johnson
Hearing Site: Tampa, FL
| | Expungement |
