| 19-01707 | 12/10/2020 | Claimant(s): Karen Grant
Claimant Lawyers(s): Karen Grant
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): David Paul Clark, Lisa Blunk Johnson, Peter Matthew Clyne
Hearing Site: Washington, DC
|  | $0 |
| 19-00513 | 11/13/2020 | Claimant(s): Donna Nicosia
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Frank J. Cuccio
Arbitrator(s): Aubrey Lees, Betty Chen, Ariel Aminov
Hearing Site: New York, NY
| | Settlement |
| 20-01786 | 10/26/2020 | Claimant(s): Mark Dalrymple
Claimant Lawyers(s): Kyle M. Kulzer
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin, Esq.
Arbitrator(s): Alain Frecon
Hearing Site: Minneapolis, MN
| | Settlement |
| 19-02160 | 10/06/2020 | Claimant(s): Donald Chiert
Claimant Lawyers(s): Christopher J. Albanese
Respondent(s): Fidelity Brokerage Services LLC, William Fleming
Respondent Lawyers(s): Logan S. Fisher
Arbitrator(s): Keely D. Parr
Hearing Site: New York, NY
| | Settlement |
| 20-01268 | 09/09/2020 | Claimant(s): Ryan Hilliard
Claimant Lawyers(s): Ryan A. Hilliard
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Patrick S. Christensen
Arbitrator(s): Gayle B. Carlson
Hearing Site: Memphis, TN
| | $0 |
| 19-03449 | 06/25/2020 | Claimant(s): Richard R. Bauer Rev. Trust dtd 7/21/11
Claimant Lawyers(s): Debra Weiss
Respondent(s): Cole Gendreau, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Michael S. Matek
Hearing Site: Minneapolis, MN
| | $0 |
| 19-03825 | 04/16/2020 | Claimant(s): Dorothy Kniker, Judith Gellhausen
Claimant Lawyers(s): Judith Gellhausen
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Patrick Christensen
Arbitrator(s): G. Maynard Green
Hearing Site: Houston, TX
| | $0 |
| 19-02888 | 03/16/2020 | Claimant(s): Louise Bloom
Claimant Lawyers(s): Louise Bloom
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Patrick S. Christensen
Arbitrator(s): Tracy L. Allen
Hearing Site: Des Moines, IA
| | $425 |
| 19-00796 | 03/10/2020 | Claimant(s): Charlene Robson, David Robson
Claimant Lawyers(s): Pamela S Duffy
Respondent(s): David Specht, Leslie Hankinson, Fidelity Brokerage Services LLC, Strategic Advisers
Respondent Lawyers(s): Nioah D. Sorkin
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Raleigh, NC
| | $34,125 |
| 19-01017 | 10/11/2019 | Claimant(s): Steven Keats
Claimant Lawyers(s): Steven L. Keats
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Harvey Barrison
Hearing Site: New York, NY
| | $0 |
