| 17-00710 | 10/06/2017 | Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): Jennifer A. Kenedy
Respondent(s): John Nordstrom, Innovation Wealth Management
Respondent Lawyers(s): Dylan W. Wiseman
Arbitrator(s): Walter J. Huntley, Shawn Ridgell, Michael C. Pastena
Hearing Site: San Francisco, CA
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| 16-00561 | 06/30/2016 | Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): Jennifer A. Kenedy
Respondent(s): Michelle Leisen, Wealth Planning Group
Respondent Lawyers(s): Joel Schroeder
Arbitrator(s): AnnDrea M. Benson, Rolf V. Aronsen, Susan M. Sanger
Hearing Site: Minneapolis, MN
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| 15-01988 | 10/29/2015 | Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): Jennifer A. Kenedy
Respondent(s): Ben Djelassi, Morgan Stanley, Todd Mulligan
Respondent Lawyers(s): Joe Gehring, Jonathan A. Keselenko
Arbitrator(s): June Y. Kilmarx, B. John Dill, John Michael D'Amico
Hearing Site: Boston, MA
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| 14-00545 | 12/02/2014 | Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): Jennifer A. Kenedy
Respondent(s): Suchitra Busch, Executive Wealth Management
Respondent Lawyers(s): David H. Jarvis, Tara E. Mahoney
Arbitrator(s): Peter S. Viviano, Tracy L. Allen, Charlene Johnson
Hearing Site: Detroit, MI
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| 13-01675 | 12/04/2013 | Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): Jennifer A. Kenedy
Respondent(s): James Valis
Respondent Lawyers(s): Sean Carnathan
Arbitrator(s): John A. Morin, Robert V. Deiana, James Alden Lincoln
Hearing Site: Boston, MA
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| 12-03869 | 02/27/2013 | Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): Jennifer A. Kenedy
Respondent(s): Justin Dodson, J.P. King Advisors.
Respondent Lawyers(s): Neil Gerstner
Arbitrator(s): Alvin L. Fishman, Michael J. Fish, Gary S. DeWeese
Hearing Site: San Francisco, CA
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| 12-02229 | 12/20/2012 | Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): Jennifer A. Kenedy
Respondent(s): Eric Savell
Respondent Lawyers(s): Oriet Cohen-Supple
Arbitrator(s): Linda M. McCoy, Vivian L. Kral, Mary Kay Higgins Crockett
Hearing Site: San Francisco, CA
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| 11-03937 | 09/21/2012 | Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): Jennifer A. Kenedy
Respondent(s): Brian Wilder, Morgan Stanley
Respondent Lawyers(s): Michael L. Chinitz
Arbitrator(s): John B. Kinsellagh, Stephen M. Acerra, Paul A. Auerbach
Hearing Site: Boston, MA
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| 10-05444 | 03/16/2011 | Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): Jennifer A. Kenedy
Respondent(s): Morgan Stanley, Stephen Beatty
Respondent Lawyers(s): David A. Stein, Joe Gehring
Arbitrator(s): Aubrey Lees, Mark J. Happe, Royce Russell
Hearing Site: New York, NY
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| 10-03020 | 01/14/2011 | Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): Jennifer A. Kenedy
Respondent(s): David LaMay, Essex Financial Services.
Respondent Lawyers(s): Richard Slavin, Robert A. Richardson
Arbitrator(s): Charles Franklin Willson, John Thomas Shaban, Edward Allison Downe
Hearing Site: Hartford, CT
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