| 22-00972 | 03/03/2023 | Claimant(s): Michelle Mills
Claimant Lawyers(s): Harris Freedman
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Leslie S. Blickenstaff
Arbitrator(s): Frances Johnson Wright
Hearing Site: Denver, CO
| | |
| 22-00665 | 03/02/2023 | Claimant(s): Timothy Cunningham
Claimant Lawyers(s): Timothy J. Cunningham
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Mary Mackey, Louis Anthony Napoli, D. Peter Gleichenhaus
Hearing Site: San Francisco, CA
|  | $0 |
| 22-00309 | 02/15/2023 | Claimant(s): Lei Wang
Claimant Lawyers(s): Lei Wang
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Mario H. Metzger, Andrew M. Mintzer, Barry D. Kaye
Hearing Site: Los Angeles, CA
| | $40,375 |
| 22-00172 | 01/30/2023 | Claimant(s): Kevin Mahoney
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Catherine Stewart
Hearing Site: Manchester, NH
| | |
| 21-02374 | 01/17/2023 | Claimant(s): Allen Wagner
Claimant Lawyers(s): Allen B. Wagner
Respondent(s): Kelly Behunin, Fidelity Brokerage Services LLC, Peter Lee, Puja Aggarwal, Robert Burge, FMR, Fidelity Personal & Workplace Advisors, Strategic Advisers LLC
Respondent Lawyers(s): Casey W. Jones, Noah D. Sorkin
Arbitrator(s): Mary Margaret Bush, Philip Aaron Tymon, Diane Duvall
Hearing Site: San Francisco, CA
| | Expungement |
| 20-01716 | 01/12/2023 | Claimant(s): Gary Sparago
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Patrick Christensen
Arbitrator(s): Richard E. Castiglioni
Hearing Site: New York, NY
| | $0 |
| 21-02942 | 01/05/2023 | Claimant(s): Christina Vozzo
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Stacey Schmidt
Arbitrator(s): Catherine Stewart
Hearing Site: Jersey City, NJ
| | |
| 19-03035 | 12/27/2022 | Claimant(s): Ryan Lee
Claimant Lawyers(s): Laurence Landsman
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Leni D. Battaglia
Arbitrator(s): Howard W. Hirschhorn, Jay Alan Kranis, William Travis
Hearing Site: New York, NY
| | |
| 22-01757 | 12/23/2022 | Claimant(s): Mary Cimmet
Claimant Lawyers(s): Mary Lyon Cimmet
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Mary Kathleen Mackey
Hearing Site: San Francisco, CA
| | $225 |
| 21-02940 | 11/15/2022 | Claimant(s): Yvonne Lyon
Claimant Lawyers(s): Robert Persante
Respondent(s): James Evans, Fidelity Brokerage Services LLC, Ryan Patrick
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Mimi B. Osiason, Geoffrey Paul Nuckolls, Andrea M Johnson
Hearing Site: Tampa, FL
| | Expungement |
