| 19-00372 | 08/23/2021 | Claimant(s): Joao Lopes
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Robert L. Chase
Hearing Site: Manchester, NH
| | |
| 20-01826 | 08/06/2021 | Claimant(s): Jonathan Hoelscher
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Harlita R. Tomlinson
Hearing Site: Cincinnati, OH
| | |
| 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 |
| 20-02851 | 07/30/2021 | Claimant(s): Maria Waters, Marlon Waters
Claimant Lawyers(s): Maria R. Waters, Marlon K. Waters
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Brian James Tagtmeier, Richard Wayne Rigdon, Kendra Johnson
Hearing Site: Dallas, TX
| | $0 |
| 20-02170 | 06/25/2021 | Claimant(s): Gregory Lee
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Kenneth R. Starr
Hearing Site: Raleigh, NC
| | |
| 20-02349 | 06/14/2021 | Claimant(s): James Gallagher Rollover IRA, James and Donna Gallagher
Claimant Lawyers(s): James J. Gallagher
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Frank J. Cuccio
Arbitrator(s): Veronica Ann Williams, Howard Alan Grinsberg, Phillip Michael Brown
Hearing Site: Jersey City, NJ
| | $0 |
| 20-03697 | 06/02/2021 | Claimant(s): Dennis de Champeaux
Claimant Lawyers(s): Dennis de Champeaux
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Patrick S. Christensen
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
| | $213 |
| 20-03388 | 04/19/2021 | Claimant(s): Daria Haidukova
Claimant Lawyers(s): Daria Haidukova
Respondent(s): Fidelity Brokerage Services LLC, Fidelity Investments Institutional Srvcs, UMB Financial Services.
Respondent Lawyers(s): Eric D. Martin, Patrick S. Christensen
Arbitrator(s): Joyce L. Hurley, Richard William DeWeese, Kendall C. Reed
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12212 |
| 20-01948 | 04/13/2021 | Claimant(s): Daniel Freebery
Claimant Lawyers(s): Daniel P. Freebery
Respondent(s): Jeffery Paytas, Fidelity Brokerage Services LLC, Nathaniel Wright
Respondent Lawyers(s): Joel M. Everest, Noah D. Sorkin
Arbitrator(s): Robert E. Anderson
Hearing Site: Wilmington, DE
| | $300 |
| 20-03350 | 04/09/2021 | Claimant(s): Iouri Bobrov
Claimant Lawyers(s): Iouri Bobrov
Respondent(s): Fidelity Brokerage Services LLC, UMB Financial Services.
Respondent Lawyers(s): Eric. D. Martin, Noah D. Sorkin
Arbitrator(s): Kendall C. Reed, Andrea Luise Halperin, David Harvey Failer
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12212 |
