| 11-02505 | 05/24/2012 | Claimant(s): Barbara Roberts, Joe Roberts, Joe D. Roberts IRA
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): Wells Fargo Advisors, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Colleen A. Hankins, Judy Louie
Arbitrator(s): Joseph C. Watson, Robert Allan Klein, Cynthia Ruth Saffir
Hearing Site: Los Angeles, CA
|  | Expungement |
| 11-02030 | 05/23/2012 | Claimant(s): Joyce Sills
Claimant Lawyers(s): Joyce Marie Sills
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Jason Vigunas
Arbitrator(s): Joseph A. Kenary, Jane C. Carney, John Kevin Williams
Hearing Site: Richmond, VA
| | $0 |
| 11-04253 | 05/08/2012 | Claimant(s): Herbert Jacobs
Claimant Lawyers(s): Herbert L. Jacobs
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Colleen A. Hankins
Arbitrator(s): Lisa Shusterman
Hearing Site: Cleveland, OH
| | $0 |
| 11-00298 | 04/24/2012 | Claimant(s): Marshall Caro, Indii.com USE
Claimant Lawyers(s): Marshall Caro
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Michael G. Shannon
Arbitrator(s): William G. Binckes, Harold I. Geringer, Richard Bemporad
Hearing Site: New York, NY
| | $0 |
| 11-00374 | 03/15/2012 | Claimant(s): Norma Wawrzyniak
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): Gregory G. Gocek
Hearing Site: Chicago, IL
| | Expungement |
| 10-01522 | 03/13/2012 | Claimant(s): Robert Schulz IRA
Claimant Lawyers(s): Vincent J. Imbesi
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Melissa Hegger Shea
Arbitrator(s): Sam Antar
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
| 10-05181 | 01/30/2012 | Claimant(s): Gail Buckley, Joseph Buckley
Claimant Lawyers(s): Moshe Y. Singer
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): James A. Murphy
Hearing Site: Chicago, IL
| | $0 |
| 10-02145 | 01/26/2012 | Claimant(s): Rosemary Vana
Claimant Lawyers(s): Sandor L. Grossman
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): Mark C. Hutchinson, Susanne J. Hollander, Lynn Hirschfeld Brahin
Hearing Site: Chicago, IL
| | Expungement |
| 09-06358 | 11/16/2011 | Claimant(s): Robert and Virginia Russiello, JTWROS, Virginia Russiello Rollover IRA
Claimant Lawyers(s): Mike Amad
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s): Brian Ken Kawakami, Kenneth Diamond, Lowell D. Johnston
Hearing Site: New York, NY
| | Expungement |
| 11-01028 | 10/17/2011 | Claimant(s): Jason Guehl
Claimant Lawyers(s): Jason Robert Guehl
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Carole G. Miller
Arbitrator(s): Vaughn Thomas Hale, Joyce L. Hurley, Daniel David Kopman
Hearing Site: Los Angeles, CA
| | |
