| 13-00365 | 10/10/2013 | Claimant(s): Jason Coles
Claimant Lawyers(s): Christine A. Page
Respondent(s): Wells Fargo Investments, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Melissa Hegger Shea, Thomas F. Kopshever
Arbitrator(s): Thomas J. Doherty, Randy R. Maher, Kevin K. Forrester
Hearing Site: San Diego, CA
| | |
| 11-02159 | 10/10/2013 | Claimant(s): Tom Garcia
Claimant Lawyers(s): Daniel B. Lipson
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): Michelle Judy Brant
Hearing Site: San Francisco, CA
|  | Expungement |
| 13-01615 | 09/30/2013 | Claimant(s): Michael McDonough
Claimant Lawyers(s): Michael J. McDonough
Respondent(s): Fidelity Brokerage Services LLC, William Routh
Respondent Lawyers(s): Melissa Hegger Shea
Arbitrator(s): David L. Maislen
Hearing Site: Los Angeles, CA
| | $0 |
| 12-02060 | 08/26/2013 | Claimant(s): Craig Hulet
Claimant Lawyers(s): Steven J. Gard
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Stacey N. Schmidt
Arbitrator(s): Thomas F. Shine, Stuart S. Billington, Anne H. Orr
Hearing Site: Jacksonville, FL
| | |
| 12-00938 | 08/09/2013 | Claimant(s): Joyashree Guha, Mita Guha, Neela Guha, Tridib Guha
Claimant Lawyers(s): Tridib Guha
Respondent(s): David Taylor, Lucile Weed, Fidelity Brokerage Services LLC
Respondent Lawyers(s): John Starnes
Arbitrator(s): Joseph M. O'Connor, Philip Aaron Tymon, Sean B. Meehan
Hearing Site: San Francisco, CA
| | Expungement |
| 12-02243 | 06/11/2013 | Claimant(s): Garrett Grove
Claimant Lawyers(s): John D. Grove
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
| | |
| 12-00899 | 06/06/2013 | Claimant(s): Joyce Selvig
Claimant Lawyers(s): Erwin Cohn
Respondent(s): Fidelity Brokerage Services LLC, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione, John Starnes
Arbitrator(s): Henry G. Nothnagel, Marilee Roberg, James A. Murphy
Hearing Site: Chicago, IL
| | $0 |
| 12-03748 | 05/28/2013 | Claimant(s): Frederick Kaiser
Claimant Lawyers(s): Michael S. Hill
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): John Starnes
Arbitrator(s): Phyllis Karasov
Hearing Site: Minneapolis, MN
| | $600 |
| 12-02327 | 04/05/2013 | Claimant(s): Mark Bremen
Claimant Lawyers(s): Mark D. Bremen
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Erin Fair
Arbitrator(s): Morris S. Getzels
Hearing Site: Los Angeles, CA
| | $1,128 |
| 12-00987 | 03/05/2013 | Claimant(s): Edward Forman
Claimant Lawyers(s): Edward Phillip Forman
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): John Starnes
Arbitrator(s): Mark S. Foster
Hearing Site: Kansas City, MO
| | $0 |
