| 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 |
| 21-00819 | 05/12/2023 | Claimant(s): Rotem Perelmuter
Claimant Lawyers(s): Geoffrey T. Macbride
Respondent(s): Fidelity Brokerage Services LLC, National Financial Services LLC
Respondent Lawyers(s): Timothy P. Burke
Arbitrator(s): Jeffrey M. Allen, Dorian Antoine Peters, Nancy Lynne Williamson
Hearing Site: San Francisco, CA
| | $3,976,050 |
| 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 |
| 20-00652 | 02/28/2022 | Claimant(s): James W. Miller, Jr.
Claimant Lawyers(s): Stephen O'Donnell
Respondent(s): Fidelity Brokerage Services LLC, National Financial Services LLC, Nicholas King, Paolo Rocca, Strategic Advisers.
Respondent Lawyers(s): Dochtor Kennedy, Kathryn B. Rockwood
Arbitrator(s): Theodore W. Wrobleski, Philip C. Stahl, James William Hoag
Hearing Site: Chicago, IL
| | Expungement |
| 20-03627 | 11/16/2021 | Claimant(s): David Bolls
Claimant Lawyers(s): Jonathan Bolls
Respondent(s): Fidelity Brokerage Services LLC, National Financial Services LLC
Respondent Lawyers(s): Nikolas S. Komyati
Arbitrator(s): Richard P. Regan, Francis Henry Dong, Richard J Thomas
Hearing Site: Washington, DC
| | $0 |
| 21-00848 | 08/05/2021 | Claimant(s): Michael Sanzo
Claimant Lawyers(s): Michael Ryan Sanzo
Respondent(s): Fidelity Brokerage Services LLC, National Financial Services LLC
Respondent Lawyers(s): Shawn J. Gebhardt
Arbitrator(s): Richard E. Lauziere
Hearing Site: Baltimore, MD
| | $300 |
| 20-00804 | 03/02/2021 | Claimant(s): Zhi Li
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): National Financial Services LLC
Respondent Lawyers(s): David Hantman
Arbitrator(s): Joseph I. Liebman
Hearing Site: New York, NY
| | |
| 19-01630 | 02/22/2021 | Claimant(s): Manuel Diaz
Claimant Lawyers(s): Luis E. Minana
Respondent(s): National Financial Services LLC
Respondent Lawyers(s): Carlos Bobonis-Gonzalez
Arbitrator(s): Gloria O. North, Howard B. Scherer, Brian James Tagtmeier
Hearing Site: San Juan, PR
| | Dismissed by Rule 12206(a) |
| 18-02706 | 06/27/2019 | Claimant(s): John Rutkowski
Claimant Lawyers(s): John Anthony Rutkowski
Respondent(s): Byron Teunisen, Katelyn Malloy, Fidelity Brokerage Services LLC, National Financial Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Thomas Benjamin Salzer
Hearing Site: Philadelphia, PA
| | $0 |
| 17-00947 | 02/19/2019 | Claimant(s): Amanjot Singh
Claimant Lawyers(s): Kevin T Duffy
Respondent(s): National Financial Services LLC
Respondent Lawyers(s): Peter Shadzik
Arbitrator(s): Richard W. Cutler, Howard W. Hirschhorn, Charles Francis Barr
Hearing Site: New York, NY
| | |
