| 20-00862 | 03/10/2022 | Claimant(s): Joan Highsmith, Lutricia Ward, Estate of Thomas Ward
Claimant Lawyers(s): Alex S Aughtry
Respondent(s): Anthony Mesquit, Eric McSwain, Jennifer Dehart, Fidelity Brokerage Services LLC, Nassim Elias, Fidelity Personal and Workplace Advisors
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Barbara L. Edin, Keith E. Robinson, Arlene Denise Knighten
Hearing Site: New Orleans, LA
|  | Expungement |
| 21-01733 | 03/09/2022 | Claimant(s): Benjamin Lau
Claimant Lawyers(s): Ariel Okonsky
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Thomas M. McHugh
Arbitrator(s): Thomas L. Marshall
Hearing Site: San Diego, CA
| | |
| 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 |
| 21-00928 | 02/25/2022 | Claimant(s): Zahid Awan
Claimant Lawyers(s): Zahid H Awan
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Travis L. Salmon
Arbitrator(s): Richard Maurice Robinson
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12212/12511 |
| 20-03596 | 02/22/2022 | Claimant(s): Sherita Booker
Claimant Lawyers(s): Sherita Quana Booker
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Kathryn B. Rockwood
Arbitrator(s): Richard W. Dissen, Eileen B. Vernon, Karl Strohbehn
Hearing Site: Cleveland, OH
| | $0 |
| 20-03418 | 02/17/2022 | Claimant(s): Christopher Lee
Claimant Lawyers(s): Christopher Lee
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): David B. Dyer, Andrea U. Calve, Douglas Wade Carvell
Hearing Site: Dallas, TX
| | |
| 20-00518 | 02/11/2022 | Claimant(s): Brok-Alan Woodward-Griffith
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Jim Geiger
Hearing Site: Manchester, NH
| | |
| 21-00134 | 01/03/2022 | Claimant(s): Adoracion Estanislao
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Fidelity Brokerage Services LLC, Steven Boschert
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Martin Mushkin, Charles F. Titterton, Howard Alan Grinsberg
Hearing Site: New York, NY
| | $0 |
| 20-03841 | 12/21/2021 | Claimant(s): Edward Denton
Claimant Lawyers(s): Edward E Denton
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Paula K. Konikoff, Erin Person, Linda Wilde
Hearing Site: Los Angeles, CA
| | Expungement |
| 21-01729 | 12/17/2021 | Claimant(s): Benjamin Lau
Claimant Lawyers(s): Frances Menzer
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Travis L. Salmon
Arbitrator(s): Kevin K. Forrester
Hearing Site: San Diego, CA
| | |
