EXHIBIT C

Case: 1:20-cv-02133 Document #: 106-3 Filed: 02/23/22 Page 1 of 23 PageID #:2511
1

Zachary Mulcrone

From: Huicochea, Elodia <Elodia.Huicochea@finra.org>

Sent: Thursday, January 13, 2022 1:32 PM

To: 'Guerette, Susan'; Chris Griesmeyer

Subject: RE: FINRA Case ID 20-01110 Fidelity Brokerage Services LLC vs. Jennifer Allison Taylor

Thank you for the prompt response. 

Kind Regards, 

Elodia Huicochea 

Senior Case Specialist, Midwest Regional Office 

From: Guerette, Susan <sguerette@fisherphillips.com> 

Sent: Wednesday, January 12, 2022 11:01 AM 

To: Huicochea, Elodia <Elodia.Huicochea@finra.org>; 'cgriesmeyer@grglegal.com' <cgriesmeyer@grglegal.com> 

Cc: Guerette, Susan <sguerette@fisherphillips.com> 

Subject: FW: FINRA Case ID 20-01110 Fidelity Brokerage Services LLC vs. Jennifer Allison Taylor 

EXTERNAL: Verify sender before opening attachments or links.

Good morning, it is acceptable to Fidelity to proceed on the regular arbitration route. 

Regards, 

Susan 

From: Huicochea, Elodia <Elodia.Huicochea@finra.org> 

Sent: Monday, January 10, 2022 1:46 PM 

To: Guerette, Susan <sguerette@fisherphillips.com>; 'cgriesmeyer@grglegal.com' <cgriesmeyer@grglegal.com> 

Subject: RE: FINRA Case ID 20-01110 Fidelity Brokerage Services LLC vs. Jennifer Allison Taylor 

CAUTION: This email originated from outside of the Firm. Do not click links or open attachments unless you recognize the sender 

and know the content is safe. 

Good afternoon, 

FINRA is attempting to determine the status of the above-referenced matter. Please advise if this case can now proceed 

on the regular arbitration route. 

Kind Regards, 

Elodia Huicochea 

Senior Case Specialist, Midwest Regional Office 

From: Guerette, Susan <sguerette@fisherphillips.com> 

Sent: Monday, November 8, 2021 5:32 PM 

Case: 1:20-cv-02133 Document #: 106-3 Filed: 02/23/22 Page 2 of 23 PageID #:2512
2

To: Huicochea, Elodia <Elodia.Huicochea@finra.org>; 'cgriesmeyer@grglegal.com' <cgriesmeyer@grglegal.com> 

Subject: RE: FINRA Case ID 20-01110 Fidelity Brokerage Services LLC vs. Jennifer Allison Taylor 

EXTERNAL: Verify sender before opening attachments or links.

Hi, yes, we do intend to pursue this case. Thank you. 

The linked image cannot be displayed. The file may have been moved, renamed, or deleted. Verify that 

the link points to the correct file and location. Susan M. Guerette

Attorney at Law

Fisher & Phillips LLP 

Two Logan Square | 12th Floor | 100 N. 18th Street | Philadelphia, PA 19103 

sguerette@fisherphillips.com | O: (610) 230-2133 | F: (610) 230-2151

vCard [fisherphillips.com] 

[nam12.safelinks.protection.outlook.com] | Bio

[fisherphillips.com] 

[nam12.safelinks.protection.outlook.com] | Website

[fisherphillips.com] 

[nam12.safelinks.protection.outlook.com]

 On the Front Lines of 

Workplace LawSM

This message may contain confidential and privileged information. If it has been sent to you in error, please 

reply to advise the sender of the error, then immediately delete this message.

From: Huicochea, Elodia <Elodia.Huicochea@finra.org> 

Sent: Monday, November 8, 2021 1:21 PM 

To: Guerette, Susan <sguerette@fisherphillips.com>; 'cgriesmeyer@grglegal.com' <cgriesmeyer@grglegal.com> 

Subject: RE: FINRA Case ID 20-01110 Fidelity Brokerage Services LLC vs. Jennifer Allison Taylor 

CAUTION: This email originated from outside of the Firm. Do not click links or open attachments unless you recognize the sender 

and know the content is safe. 

Good morning, 

FINRA is attempting to determine the status of the above-referenced matter. Please advise this office by November 12, 

2021 if you intend to pursue this matter. 

Kind Regards, 

Elodia Huicochea 

Senior Case Specialist, Midwest Regional Office 

FINRA Dispute Resolution Services 

55 W. Monroe Street, Suite 2600 

Chicago, Illinois 60603 

Tel: 312-899-4422 

E-Mail: Elodia.Huicochea@FINRA.org

DR Portal [nam12.safelinks.protection.outlook.com] [nam12.safelinks.protection.outlook.com] 

Follow us on Twitter @FINRA [nam12.safelinks.protection.outlook.com] [nam12.safelinks.protection.outlook.com]

Case: 1:20-cv-02133 Document #: 106-3 Filed: 02/23/22 Page 3 of 23 PageID #:2513
3

From: Guerette, Susan <sguerette@fisherphillips.com> 

Sent: Monday, September 27, 2021 11:53 AM 

To: Huicochea, Elodia <Elodia.Huicochea@finra.org>; 'cgriesmeyer@grglegal.com' <cgriesmeyer@grglegal.com> 

Cc: Guerette, Susan <sguerette@fisherphillips.com> 

Subject: RE: FINRA Case ID 20-01110 Fidelity Brokerage Services LLC vs. Jennifer Allison Taylor 

EXTERNAL: Verify sender before opening attachments or links.

Good morning, yes, Fidelity intends to pursue this matter. We are still awaiting a decision from the Court. 

Regards, 

Susan 

The linked image cannot be displayed. The file may have been moved, renamed, or deleted. Verify that 

the link points to the correct file and location. Susan M. Guerette

Attorney at Law

Fisher & Phillips LLP 

Two Logan Square | 12th Floor | 100 N. 18th Street | Philadelphia, PA 19103 

sguerette@fisherphillips.com | O: (610) 230-2133 | F: (610) 230-2151

vCard [fisherphillips.com] 

[nam12.safelinks.protection.outlook.com] 

[nam12.safelinks.protection.outlook.com] | Bio

[fisherphillips.com] 

[nam12.safelinks.protection.outlook.com] 

[nam12.safelinks.protection.outlook.com] | Website

[fisherphillips.com] 

[nam12.safelinks.protection.outlook.com] 

[nam12.safelinks.protection.outlook.com]

 On the Front Lines of 

Workplace LawSM

This message may contain confidential and privileged information. If it has been sent to you in error, please 

reply to advise the sender of the error, then immediately delete this message.

From: Huicochea, Elodia <Elodia.Huicochea@finra.org> 

Sent: Monday, September 27, 2021 11:43 AM 

To: Guerette, Susan <sguerette@fisherphillips.com>; 'cgriesmeyer@grglegal.com' <cgriesmeyer@grglegal.com> 

Subject: RE: FINRA Case ID 20-01110 Fidelity Brokerage Services LLC vs. Jennifer Allison Taylor 

Good morning, 

FINRA is attempting to determine the status of the above-referenced matter. Please advise this case can now proceed 

office by October 1, 2021 if you intend to pursue this matter. 

Kind Regards, 

Elodia Huicochea 

Senior Case Specialist, Midwest Regional Office 

Case: 1:20-cv-02133 Document #: 106-3 Filed: 02/23/22 Page 4 of 23 PageID #:2514
4

FINRA Dispute Resolution Services 

55 W. Monroe Street, Suite 2600 

Chicago, Illinois 60603 

Tel: 312-899-4422 

E-Mail: Elodia.Huicochea@FINRA.org

DR Portal [nam12.safelinks.protection.outlook.com] [nam12.safelinks.protection.outlook.com] 

[nam12.safelinks.protection.outlook.com] 

Follow us on Twitter @FINRA [nam12.safelinks.protection.outlook.com] [nam12.safelinks.protection.outlook.com] 

[nam12.safelinks.protection.outlook.com]

From: Huicochea, Elodia 

Sent: Tuesday, September 21, 2021 11:00 AM 

To: Guerette, Susan <sguerette@fisherphillips.com>; 'cgriesmeyer@grglegal.com' <cgriesmeyer@grglegal.com> 

Subject: RE: FINRA Case ID 20-01110 Fidelity Brokerage Services LLC vs. Jennifer Allison Taylor 

Good morning, 

Please provide our office with an update with regards to the above mentioned matter. 

Kind Regards, 

Elodia Huicochea 

Senior Case Specialist, Midwest Regional Office 

FINRA Dispute Resolution Services 

55 W. Monroe Street, Suite 2600 

Chicago, Illinois 60603 

Tel: 312-899-4422 

E-Mail: Elodia.Huicochea@FINRA.org

DR Portal [nam12.safelinks.protection.outlook.com] [nam12.safelinks.protection.outlook.com] 

[nam12.safelinks.protection.outlook.com] 

Follow us on Twitter @FINRA [nam12.safelinks.protection.outlook.com] [nam12.safelinks.protection.outlook.com] 

[nam12.safelinks.protection.outlook.com]

From: Huicochea, Elodia 

Sent: Monday, July 26, 2021 11:26 AM 

To: Guerette, Susan <sguerette@fisherphillips.com>; 'cgriesmeyer@grglegal.com' <cgriesmeyer@grglegal.com> 

Cc: Dang-Vu, Khoi <Khoi.Dang-Vu@finra.org> 

Subject: RE: FINRA Case ID 20-01110 Fidelity Brokerage Services LLC vs. Jennifer Allison Taylor 

Good morning, 

Please provide our office with an update with regards to the above mentioned matter. 

Case: 1:20-cv-02133 Document #: 106-3 Filed: 02/23/22 Page 5 of 23 PageID #:2515
5

Kind Regards, 

Elodia Huicochea 

Senior Case Specialist, Midwest Regional Office 

FINRA Dispute Resolution Services 

55 W. Monroe Street, Suite 2600 

Chicago, Illinois 60603 

Tel: 312-899-4422 

E-Mail: Elodia.Huicochea@FINRA.org

DR Portal [nam12.safelinks.protection.outlook.com] [nam12.safelinks.protection.outlook.com] 

[nam12.safelinks.protection.outlook.com] 

Follow us on Twitter @FINRA [nam12.safelinks.protection.outlook.com] [nam12.safelinks.protection.outlook.com] 

[nam12.safelinks.protection.outlook.com]

From: Huicochea, Elodia 

Sent: Monday, May 24, 2021 12:56 PM 

To: Guerette, Susan <sguerette@fisherphillips.com>; 'cgriesmeyer@grglegal.com' <cgriesmeyer@grglegal.com> 

Cc: Dang-Vu, Khoi <Khoi.Dang-Vu@finra.org> 

Subject: RE: FINRA Case ID 20-01110 Fidelity Brokerage Services LLC vs. Jennifer Allison Taylor 

Good morning, 

FINRA is attempting to determine the status of the above-referenced matter. Please advise this office by May 28, 2021 if 

you intend to pursue this matter. 

Kind Regards, 

Elodia Huicochea 

Senior Case Specialist, Midwest Regional Office 

From: Huicochea, Elodia 

Sent: Wednesday, May 12, 2021 9:59 AM 

To: Guerette, Susan <sguerette@fisherphillips.com>; 'cgriesmeyer@grglegal.com' <cgriesmeyer@grglegal.com> 

Cc: Dang-Vu, Khoi <Khoi.Dang-Vu@finra.org> 

Subject: FW: FINRA Case ID 20-01110 Fidelity Brokerage Services LLC vs. Jennifer Allison Taylor 

Importance: High 

Good morning, 

Please provide our office with an update with regards to the above mentioned matter. 

Kind Regards, 

Elodia Huicochea 

Senior Case Specialist, Midwest Regional Office 

FINRA Dispute Resolution Services 

55 W. Monroe Street, Suite 2600 

Case: 1:20-cv-02133 Document #: 106-3 Filed: 02/23/22 Page 6 of 23 PageID #:2516
6

Chicago, Illinois 60603 

Tel: 312-899-4422 

E-Mail: Elodia.Huicochea@FINRA.org

DR Portal [nam12.safelinks.protection.outlook.com] [nam12.safelinks.protection.outlook.com] 

[nam12.safelinks.protection.outlook.com] 

Follow us on Twitter @FINRA [nam12.safelinks.protection.outlook.com] [nam12.safelinks.protection.outlook.com] 

[nam12.safelinks.protection.outlook.com]

From: Huicochea, Elodia 

Sent: Tuesday, May 4, 2021 1:30 PM 

To: 'Guerette, Susan' <sguerette@fisherphillips.com>; 'cgriesmeyer@grglegal.com' <cgriesmeyer@grglegal.com> 

Cc: Dang-Vu, Khoi <Khoi.Dang-Vu@finra.org> 

Subject: RE: FINRA Case ID 20-01110 Fidelity Brokerage Services LLC vs. Jennifer Allison Taylor 

Good afternoon, 

Hope all is well. Please provide our office with an update with regards to the court proceeding for the above mentioned 

matter. 

Kind Regards, 

Elodia Huicochea 

Senior Case Specialist, Midwest Regional Office 

FINRA Dispute Resolution Services 

55 W. Monroe Street, Suite 2600 

Chicago, Illinois 60603 

Tel: 312-899-4422 

E-Mail: Elodia.Huicochea@FINRA.org

DR Portal [nam12.safelinks.protection.outlook.com] [nam12.safelinks.protection.outlook.com] 

[nam12.safelinks.protection.outlook.com] 

Follow us on Twitter @FINRA [nam12.safelinks.protection.outlook.com] [nam12.safelinks.protection.outlook.com] 

[nam12.safelinks.protection.outlook.com]

From: Guerette, Susan <sguerette@fisherphillips.com> 

Sent: Tuesday, March 23, 2021 7:01 PM 

To: Huicochea, Elodia <Elodia.Huicochea@finra.org>; 'cgriesmeyer@grglegal.com' <cgriesmeyer@grglegal.com> 

Cc: Dang-Vu, Khoi <Khoi.Dang-Vu@finra.org> 

Subject: RE: FINRA Case ID 20-01110 Fidelity Brokerage Services LLC vs. Jennifer Allison Taylor 

EXTERNAL: Verify sender before opening attachments or links.

Case: 1:20-cv-02133 Document #: 106-3 Filed: 02/23/22 Page 7 of 23 PageID #:2517
7

Good afternoon, 

We are currently briefing injunctive relief in Court and then expect a determination. 

Thank you. 

Regards, 

Susan 

From: Huicochea, Elodia <Elodia.Huicochea@finra.org> 

Sent: Tuesday, March 23, 2021 3:30 PM 

To: Guerette, Susan <sguerette@fisherphillips.com>; 'cgriesmeyer@grglegal.com' <cgriesmeyer@grglegal.com> 

Cc: Dang-Vu, Khoi <Khoi.Dang-Vu@finra.org> 

Subject: RE: FINRA Case ID 20-01110 Fidelity Brokerage Services LLC vs. Jennifer Allison Taylor 

Good afternoon, 

To date FINRA has not received a status update regarding the court proceeding. Please provide a status update as soon 

as possible. 

Kind Regards, 

Elodia Huicochea 

Senior Case Specialist, Midwest Regional Office 

FINRA Dispute Resolution Services 

55 W. Monroe Street, Suite 2600 

Chicago, Illinois 60603 

Tel: 312-899-4422 

E-Mail: Elodia.Huicochea@FINRA.org

DR Portal [nam12.safelinks.protection.outlook.com] [nam12.safelinks.protection.outlook.com] 

[nam12.safelinks.protection.outlook.com] [nam12.safelinks.protection.outlook.com] 

Follow us on Twitter @FINRA [nam12.safelinks.protection.outlook.com] [nam12.safelinks.protection.outlook.com] 

[nam12.safelinks.protection.outlook.com] [nam12.safelinks.protection.outlook.com]

From: Huicochea, Elodia 

Sent: Thursday, March 4, 2021 9:19 AM 

To: 'Guerette, Susan' <sguerette@fisherphillips.com>; cgriesmeyer@grglegal.com

Cc: Dang-Vu, Khoi <Khoi.Dang-Vu@finra.org> 

Subject: RE: FINRA Case ID 20-01110 Fidelity Brokerage Services LLC vs. Jennifer Allison Taylor 

Good morning, 

Hope all is well. Please provide our office with an update with regards to the court proceeding for the above mentioned 

matter. 

Kind Regards, 

Case: 1:20-cv-02133 Document #: 106-3 Filed: 02/23/22 Page 8 of 23 PageID #:2518
8

Elodia Huicochea 

Senior Case Specialist, Midwest Regional Office 

FINRA Dispute Resolution Services 

55 W. Monroe Street, Suite 2600 

Chicago, Illinois 60603 

Tel: 312-899-4422 

E-Mail: Elodia.Huicochea@FINRA.org

DR Portal [nam12.safelinks.protection.outlook.com] [nam12.safelinks.protection.outlook.com] 

[nam12.safelinks.protection.outlook.com] [nam12.safelinks.protection.outlook.com] 

Follow us on Twitter @FINRA [nam12.safelinks.protection.outlook.com] [nam12.safelinks.protection.outlook.com] 

[nam12.safelinks.protection.outlook.com] [nam12.safelinks.protection.outlook.com]

From: Guerette, Susan <sguerette@fisherphillips.com> 

Sent: Wednesday, January 27, 2021 10:55 AM 

To: Dang-Vu, Khoi <Khoi.Dang-Vu@finra.org>; cgriesmeyer@grglegal.com

Cc: Huicochea, Elodia <Elodia.Huicochea@finra.org> 

Subject: RE: FINRA Case ID 20-01110 Fidelity Brokerage Services LLC vs. Jennifer Allison Taylor 

EXTERNAL: Verify sender before opening attachments or links.

Dear Khoi, 

 

The Judge has set a briefing schedule on the request for injunctive relief and we will be following that schedule. We will 

let you know as soon as there is a decision by the Court. Thank you very much. 

 

Regards, 

Susan 

 

 

The linked image cannot be displayed. The file may have been moved, renamed, or deleted. Verify that 

the link points to the correct file and location. Susan M. Guerette

Attorney at Law

Fisher & Phillips LLP 

Two Logan Square | 12th Floor | 100 N. 18th Street | Philadelphia, PA 19103 

sguerette@fisherphillips.com | O: (610) 230-2133 | F: (610) 230-2151

 

vCard [fisherphillips.com] 

[nam12.safelinks.protection.outlook.com] 

[nam12.safelinks.protection.outlook.com] 

[nam12.safelinks.protection.outlook.com] 

[nam12.safelinks.protection.outlook.com] | Bio

[fisherphillips.com] 

[nam12.safelinks.protection.outlook.com] 

[nam12.safelinks.protection.outlook.com] 

[nam12.safelinks.protection.outlook.com] 

[nam12.safelinks.protection.outlook.com] | Website

[fisherphillips.com] 

[nam12.safelinks.protection.outlook.com] 

[nam12.safelinks.protection.outlook.com] 

[nam12.safelinks.protection.outlook.com] 

[nam12.safelinks.protection.outlook.com]

 On the Front Lines of 

Workplace LawSM

Case: 1:20-cv-02133 Document #: 106-3 Filed: 02/23/22 Page 9 of 23 PageID #:2519
9

This message may contain confidential and privileged information. If it has been sent to you in error, please 

reply to advise the sender of the error, then immediately delete this message.

 

 

 

 

From: Dang-Vu, Khoi <Khoi.Dang-Vu@finra.org> 

Sent: Wednesday, January 27, 2021 11:45 AM 

To: cgriesmeyer@grglegal.com; Guerette, Susan <sguerette@fisherphillips.com> 

Cc: Huicochea, Elodia <Elodia.Huicochea@finra.org> 

Subject: FINRA Case ID 20-01110 Fidelity Brokerage Services LLC vs. Jennifer Allison Taylor 

 

Dear Counsels, 

 

I am following up on previous requests sent to you the last few months for an update regarding the status of the TRO in 

the above referenced matter. At your earliest convenience, please advise if there has been any update. 

 

Best, 

 

Khoi Dang-Vu 

 

Khoi Dang-Vu 

Case Administrator 

FINRA Dispute Resolution Services 

55 W. Monroe St., Ste. 2600 

Chicago, IL 60603 

312-899-4428 (phone) 

Khoi.Dang-Vu@finra.org 

 

 

Confidentiality Notice:: This email, including attachments, may include non-public, proprietary, confidential or legally 

privileged information. If you are not an intended recipient or an authorized agent of an intended recipient, you are 

hereby notified that any dissemination, distribution or copying of the information contained in or transmitted with this 

e-mail is unauthorized and strictly prohibited. If you have received this email in error, please notify the sender by 

replying to this message and permanently delete this e-mail, its attachments, and any copies of it immediately. You 

should not retain, copy or use this e-mail or any attachment for any purpose, nor disclose all or any part of the contents 

to any other person. Thank you. 

TLS=45e0 5e6a -93ea -477a -8b5a-2 46e fdf367 fa 

Case: 1:20-cv-02133 Document #: 106-3 Filed: 02/23/22 Page 10 of 23 PageID #:2520
1

Zachary Mulcrone

From: Huicochea, Elodia <Elodia.Huicochea@finra.org>

Sent: Wednesday, January 20, 2021 9:36 AM

To: 'Guerette, Susan'

Cc: Chris Griesmeyer

Subject: RE: FINRA Case ID: 20-01110 Fidelity Brokerage Services LLC vs. Jennifer Allison Taylor

Good morning, 

Hope all is well. Please provide our office with an update with regards to the court proceeding for the above mentioned 

matter. 

Kind Regards, 

Elodia Huicochea 

Senior Case Specialist, Midwest Regional Office 

FINRA Dispute Resolution Services 

55 W. Monroe Street, Suite 2600 

Chicago, Illinois 60603 

Tel: 312-899-4422 

E-Mail: Elodia.Huicochea@FINRA.org

DR Portal 

Follow us on Twitter @FINRA

From: Huicochea, Elodia 

Sent: Thursday, January 7, 2021 12:39 PM 

To: 'Guerette, Susan' <sguerette@fisherphillips.com> 

Cc: 'Chris Griesmeyer' <cgriesmeyer@grglegal.com> 

Subject: RE: FINRA Case ID: 20-01110 Fidelity Brokerage Services LLC vs. Jennifer Allison Taylor 

Importance: High 

Good afternoon, 

Hope all is well. Please provide our office with an update with regards to the court proceeding for the above mentioned 

matter. 

Kind Regards, 

Elodia Huicochea 

Senior Case Specialist, Midwest Regional Office 

FINRA Dispute Resolution Services 

55 W. Monroe Street, Suite 2600 

Chicago, Illinois 60603 

Tel: 312-899-4422 

E-Mail: Elodia.Huicochea@FINRA.org

Case: 1:20-cv-02133 Document #: 106-3 Filed: 02/23/22 Page 11 of 23 PageID #:2521
2

DR Portal 

Follow us on Twitter @FINRA

From: Huicochea, Elodia 

Sent: Wednesday, November 18, 2020 2:30 PM 

To: 'Guerette, Susan' <sguerette@fisherphillips.com> 

Cc: 'Chris Griesmeyer' <cgriesmeyer@grglegal.com> 

Subject: RE: FINRA Case ID: 20-01110 Fidelity Brokerage Services LLC vs. Jennifer Allison Taylor 

Good afternoon, 

To date FINRA has not received a status update regarding the court proceeding. Please provide a status update as soon 

as possible. 

Kind Regards, 

Elodia Huicochea 

Senior Case Specialist, Midwest Regional Office 

From: Huicochea, Elodia 

Sent: Thursday, November 5, 2020 1:31 PM 

To: 'Guerette, Susan' <sguerette@fisherphillips.com> 

Cc: 'Chris Griesmeyer' <cgriesmeyer@grglegal.com> 

Subject: RE: FINRA Case ID: 20-01110 Fidelity Brokerage Services LLC vs. Jennifer Allison Taylor 

Good afternoon, 

Hope all is well. Please provide our office with an update with regards to the court proceeding for the above mentioned 

matter. 

Kind Regards, 

Elodia Huicochea 

Senior Case Specialist, Midwest Regional Office 

FINRA Dispute Resolution Services 

55 W. Monroe Street, Suite 2600 

Chicago, Illinois 60603 

Tel: 312-899-4422 

E-Mail: Elodia.Huicochea@FINRA.org

DR Portal 

Follow us on Twitter @FINRA

Case: 1:20-cv-02133 Document #: 106-3 Filed: 02/23/22 Page 12 of 23 PageID #:2522
3

From: Huicochea, Elodia 

Sent: Monday, October 19, 2020 9:31 AM 

To: 'Guerette, Susan' <sguerette@fisherphillips.com> 

Cc: 'Chris Griesmeyer' <cgriesmeyer@grglegal.com> 

Subject: RE: FINRA Case ID: 20-01110 Fidelity Brokerage Services LLC vs. Jennifer Allison Taylor 

Good morning, 

Hope all is well. Please provide our office with an update with regards to the court proceeding for the above mentioned 

matter. 

Kind Regards, 

Elodia Huicochea 

Senior Case Specialist, Midwest Regional Office 

FINRA Dispute Resolution Services 

55 W. Monroe Street, Suite 2600 

Chicago, Illinois 60603 

Tel: 312-899-4422 

E-Mail: Elodia.Huicochea@FINRA.org

DR Portal 

Follow us on Twitter @FINRA

From: Huicochea, Elodia 

Sent: Wednesday, September 30, 2020 8:26 AM 

To: 'Guerette, Susan' <sguerette@fisherphillips.com> 

Cc: 'Chris Griesmeyer' <cgriesmeyer@grglegal.com> 

Subject: RE: FINRA Case ID: 20-01110 Fidelity Brokerage Services LLC vs. Jennifer Allison Taylor 

Good morning, 

Thank you for the update. 

Kind Regards, 

Elodia Huicochea 

Senior Case Specialist, Midwest Regional Office 

FINRA Dispute Resolution Services 

55 W. Monroe Street, Suite 2600 

Chicago, Illinois 60603 

Tel: 312-899-4422 

E-Mail: Elodia.Huicochea@FINRA.org

DR Portal 

Follow us on Twitter @FINRA

Case: 1:20-cv-02133 Document #: 106-3 Filed: 02/23/22 Page 13 of 23 PageID #:2523
4

From: Guerette, Susan <sguerette@fisherphillips.com> 

Sent: Tuesday, September 29, 2020 5:33 PM 

To: Huicochea, Elodia <Elodia.Huicochea@finra.org> 

Cc: 'Chris Griesmeyer' <cgriesmeyer@grglegal.com> 

Subject: RE: FINRA Case ID: 20-01110 Fidelity Brokerage Services LLC vs. Jennifer Allison Taylor 

EXTERNAL: Verify sender before opening attachments or links.

Elodia, 

We are still proceeding in Court and have not yet obtained a decision on the pending injunction motion. 

Regards, 

Susan 

From: Huicochea, Elodia <Elodia.Huicochea@finra.org> 

Sent: Tuesday, September 29, 2020 4:41 PM 

To: Guerette, Susan <sguerette@fisherphillips.com> 

Cc: 'Chris Griesmeyer' <cgriesmeyer@grglegal.com> 

Subject: RE: FINRA Case ID: 20-01110 Fidelity Brokerage Services LLC vs. Jennifer Allison Taylor 

Good afternoon, 

To date FINRA has not received a status update regarding the court proceeding. Please provide a status update as soon 

as possible. 

Kind Regards, 

Elodia Huicochea 

Senior Case Specialist, Midwest Regional Office 

FINRA Dispute Resolution Services 

55 W. Monroe Street, Suite 2600 

Chicago, Illinois 60603 

Tel: 312-899-4422 

E-Mail: Elodia.Huicochea@FINRA.org

DR Portal 

Follow us on Twitter @FINRA [twitter.com]

Case: 1:20-cv-02133 Document #: 106-3 Filed: 02/23/22 Page 14 of 23 PageID #:2524
5

From: Huicochea, Elodia 

Sent: Monday, September 21, 2020 3:35 PM 

To: 'Guerette, Susan' <sguerette@fisherphillips.com> 

Cc: 'Chris Griesmeyer' <cgriesmeyer@grglegal.com> 

Subject: RE: FINRA Case ID: 20-01110 Fidelity Brokerage Services LLC vs. Jennifer Allison Taylor 

Good afternoon, 

Hope all is well. Please provide me with a status update for the above mentioned matter. 

Kind Regards, 

Elodia Huicochea 

Senior Case Specialist, Midwest Regional Office 

FINRA Dispute Resolution Services 

55 W. Monroe Street, Suite 2600 

Chicago, Illinois 60603 

Tel: 312-899-4422 

E-Mail: Elodia.Huicochea@FINRA.org

DR Portal 

Follow us on Twitter @FINRA [twitter.com]

From: Guerette, Susan <sguerette@fisherphillips.com> 

Sent: Monday, August 24, 2020 7:03 PM 

To: Huicochea, Elodia <Elodia.Huicochea@finra.org> 

Cc: 'Chris Griesmeyer' <cgriesmeyer@grglegal.com> 

Subject: RE: FINRA Case ID: 20-01110 Fidelity Brokerage Services LLC vs. Jennifer Allison Taylor 

EXTERNAL: Verify sender before opening attachments or links.

Hi Elodia, 

We do not yet have anything new to report on this case but we will let you know as soon as we do. 

Regards, 

Susan 

The linked image cannot be displayed. The file may have been moved, renamed, or deleted. Verify that 

the link points to the correct file and location. Susan M. Guerette

Attorney at Law

Fisher & Phillips LLP 

150 N. Radnor Chester Road | Suite C300 | Radnor, PA 19087 

sguerette@fisherphillips.com | O: (610) 230-2133 | F: (610) 230-2151

vCard

[fisherphillips.com] | Bio

[fisherphillips.com] | Website

[fisherphillips.com]

 On the Front Lines of Workplace LawSM

Case: 1:20-cv-02133 Document #: 106-3 Filed: 02/23/22 Page 15 of 23 PageID #:2525
6

This message may contain confidential and privileged information. If it has been sent to you in error, please 

reply to advise the sender of the error, then immediately delete this message.

From: Huicochea, Elodia <Elodia.Huicochea@finra.org> 

Sent: Monday, August 24, 2020 5:52 PM 

To: Guerette, Susan <sguerette@fisherphillips.com> 

Cc: 'Chris Griesmeyer' <cgriesmeyer@grglegal.com> 

Subject: RE: FINRA Case ID: 20-01110 Fidelity Brokerage Services LLC vs. Jennifer Allison Taylor 

Good afternoon, 

Hope all is well. Please provide me with a status update for the above mentioned matter. 

Kind Regards, 

Elodia Huicochea 

Senior Case Specialist, Midwest Regional Office 

FINRA Dispute Resolution Services 

55 W. Monroe Street, Suite 2600 

Chicago, Illinois 60603 

Tel: 312-899-4422 

E-Mail: Elodia.Huicochea@FINRA.org

DR Portal 

Follow us on Twitter @FINRA [twitter.com]

From: Huicochea, Elodia 

Sent: Monday, August 17, 2020 12:55 PM 

To: 'Guerette, Susan' <sguerette@fisherphillips.com> 

Cc: 'Chris Griesmeyer' <cgriesmeyer@grglegal.com> 

Subject: RE: FINRA Case ID: 20-01110 Fidelity Brokerage Services LLC vs. Jennifer Allison Taylor 

Good afternoon, 

Hope all is well. Please provide me with a status update for the above mentioned matter. 

Kind Regards, 

Elodia Huicochea 

Senior Case Specialist, Midwest Regional Office 

FINRA Dispute Resolution Services 

55 W. Monroe Street, Suite 2600 

Chicago, Illinois 60603 

Tel: 312-899-4422 

E-Mail: Elodia.Huicochea@FINRA.org

DR Portal 

Case: 1:20-cv-02133 Document #: 106-3 Filed: 02/23/22 Page 16 of 23 PageID #:2526
7

Follow us on Twitter @FINRA [twitter.com]

From: Huicochea, Elodia 

Sent: Tuesday, August 4, 2020 3:55 PM 

To: 'Guerette, Susan' <sguerette@fisherphillips.com> 

Cc: 'Chris Griesmeyer' <cgriesmeyer@grglegal.com> 

Subject: RE: FINRA Case ID: 20-01110 Fidelity Brokerage Services LLC vs. Jennifer Allison Taylor 

Good afternoon, 

Hope all is well. Please provide the date of the court hearing for the above mentioned matter. 

Kind Regards, 

Elodia Huicochea 

Senior Case Specialist, Midwest Regional Office 

FINRA Dispute Resolution Services 

55 W. Monroe Street, Suite 2600 

Chicago, Illinois 60603 

Tel: 312-899-4422 

E-Mail: Elodia.Huicochea@FINRA.org

DR Portal 

Follow us on Twitter @FINRA [twitter.com]

From: Huicochea, Elodia 

Sent: Friday, July 31, 2020 8:54 AM 

To: 'Guerette, Susan' <sguerette@fisherphillips.com> 

Cc: 'Chris Griesmeyer' <cgriesmeyer@grglegal.com> 

Subject: RE: FINRA Case ID: 20-01110 Fidelity Brokerage Services LLC vs. Jennifer Allison Taylor 

Good morning, 

Hope all is well. Please provide the date of the court hearing for the above mentioned matter. 

Kind Regards, 

Elodia Huicochea 

Senior Case Specialist, Midwest Regional Office 

FINRA Dispute Resolution Services 

55 W. Monroe Street, Suite 2600 

Chicago, Illinois 60603 

Case: 1:20-cv-02133 Document #: 106-3 Filed: 02/23/22 Page 17 of 23 PageID #:2527
8

Tel: 312-899-4422 

E-Mail: Elodia.Huicochea@FINRA.org

DR Portal 

Follow us on Twitter @FINRA [twitter.com]

From: Huicochea, Elodia 

Sent: Tuesday, July 21, 2020 2:03 PM 

To: 'Guerette, Susan' <sguerette@fisherphillips.com> 

Cc: 'Chris Griesmeyer' <cgriesmeyer@grglegal.com> 

Subject: RE: FINRA Case ID: 20-01110 Fidelity Brokerage Services LLC vs. Jennifer Allison Taylor 

Good afternoon, 

Hope all is well. Please provide me with a status update for the above mentioned matter. 

Kind Regards, 

Elodia Huicochea 

Senior Case Specialist, Midwest Regional Office 

FINRA Dispute Resolution Services 

55 W. Monroe Street, Suite 2600 

Chicago, Illinois 60603 

Tel: 312-899-4422 

E-Mail: Elodia.Huicochea@FINRA.org

DR Portal 

Follow us on Twitter @FINRA [twitter.com]

From: Huicochea, Elodia 

Sent: Thursday, July 2, 2020 9:49 AM 

To: 'Guerette, Susan' <sguerette@fisherphillips.com> 

Cc: 'Chris Griesmeyer' <cgriesmeyer@grglegal.com> 

Subject: RE: FINRA Case ID: 20-01110 Fidelity Brokerage Services LLC vs. Jennifer Allison Taylor 

Good morning, 

Thank you for the update. 

Have a good weekend! 

Kind Regards, 

Elodia Huicochea 

Case: 1:20-cv-02133 Document #: 106-3 Filed: 02/23/22 Page 18 of 23 PageID #:2528
9

Senior Case Specialist, Midwest Regional Office 

FINRA Dispute Resolution Services 

55 W. Monroe Street, Suite 2600 

Chicago, Illinois 60603 

Tel: 312-899-4422 

E-mail: Elodia.Huicochea@FINRA.org

DR Portal 

Follow us on Twitter @FINRA_DR [twitter.com]

From: Guerette, Susan <sguerette@fisherphillips.com> 

Sent: Thursday, July 2, 2020 9:46 AM 

To: Huicochea, Elodia <Elodia.Huicochea@finra.org> 

Cc: 'Chris Griesmeyer' <cgriesmeyer@grglegal.com> 

Subject: RE: FINRA Case ID: 20-01110 Fidelity Brokerage Services LLC vs. Jennifer Allison Taylor 

EXTERNAL: Verify sender before opening attachments or links.

Nothing new to report. 

The linked image cannot be displayed. The file may have been moved, renamed, or deleted. Verify that 

the link points to the correct file and location. Susan M. Guerette

Attorney at Law

Fisher & Phillips LLP 

150 N. Radnor Chester Road | Suite C300 | Radnor, PA 19087 

sguerette@fisherphillips.com | O: (610) 230-2133 | F: (610) 230-2151

 

vCard

[fisherphillips.com] | Bio

[fisherphillips.com] | Website

[fisherphillips.com]

 On the Front Lines of Workplace LawSM

This message may contain confidential and privileged information. If it has been sent to you in error, please 

reply to advise the sender of the error, then immediately delete this message.

From: Huicochea, Elodia <Elodia.Huicochea@finra.org> 

Sent: Thursday, July 2, 2020 10:45 AM 

To: Guerette, Susan <sguerette@fisherphillips.com> 

Cc: 'Chris Griesmeyer' <cgriesmeyer@grglegal.com> 

Subject: RE: FINRA Case ID: 20-01110 Fidelity Brokerage Services LLC vs. Jennifer Allison Taylor 

Good morning, 

Please provide me with a status update for the above mentioned matter. 

Kind Regards, 

Elodia Huicochea 

Case: 1:20-cv-02133 Document #: 106-3 Filed: 02/23/22 Page 19 of 23 PageID #:2529
10

Senior Case Specialist, Midwest Regional Office 

FINRA Dispute Resolution Services 

55 W. Monroe Street, Suite 2600 

Chicago, Illinois 60603 

Tel: 312-899-4422 

E-mail: Elodia.Huicochea@FINRA.org

DR Portal 

Follow us on Twitter @FINRA_DR [twitter.com]

From: Huicochea, Elodia 

Sent: Friday, June 12, 2020 10:15 AM 

To: 'Guerette, Susan' <sguerette@fisherphillips.com> 

Cc: 'Chris Griesmeyer' <cgriesmeyer@grglegal.com> 

Subject: RE: FINRA Case ID: 20-01110 Fidelity Brokerage Services LLC vs. Jennifer Allison Taylor 

Thank you for the update. 

Kind Regards, 

Elodia Huicochea 

Senior Case Specialist, Midwest Regional Office 

FINRA Dispute Resolution Services 

55 W. Monroe Street, Suite 2600 

Chicago, Illinois 60603 

Tel: 312-899-4422 

E-mail: Elodia.Huicochea@FINRA.org

DR Portal 

Follow us on Twitter @FINRA_DR [twitter.com]

From: Guerette, Susan <sguerette@fisherphillips.com> 

Sent: Friday, June 12, 2020 10:10 AM 

To: Huicochea, Elodia <Elodia.Huicochea@finra.org> 

Cc: 'Chris Griesmeyer' <cgriesmeyer@grglegal.com>; Guerette, Susan <sguerette@fisherphillips.com> 

Subject: RE: FINRA Case ID: 20-01110 Fidelity Brokerage Services LLC vs. Jennifer Allison Taylor 

EXTERNAL: Verify sender before opening attachments or links.

Ms. Huichochea, 

The parties are still proceeding in Court and an injunctive order has not been issued at this time. 

Have a good weekend. 

Case: 1:20-cv-02133 Document #: 106-3 Filed: 02/23/22 Page 20 of 23 PageID #:2530
11

Regards, 

Susan 

Office Move Notice: The Philadelphia Office of Fisher Phillips is moving. As of Monday, June 15th, our new location will 

be: 

Two Logan Square, 12th Floor, 100 N. 18th Street, Philadelphia, PA 19103. Phone numbers will be unchanged. Thank 

you. 

The linked image cannot be displayed. The file may have been moved, renamed, or deleted. Verify that 

the link points to the correct file and location. Susan M. Guerette

Attorney at Law

Fisher & Phillips LLP 

150 N. Radnor Chester Road | Suite C300 | Radnor, PA 19087 

sguerette@fisherphillips.com | O: (610) 230-2133 | F: (610) 230-2151

 

vCard

[fisherphillips.com] | Bio

[fisherphillips.com] | Website

[fisherphillips.com]

 On the Front Lines of Workplace LawSM

This message may contain confidential and privileged information. If it has been sent to you in error, please 

reply to advise the sender of the error, then immediately delete this message.

From: Huicochea, Elodia <Elodia.Huicochea@finra.org> 

Sent: Thursday, June 11, 2020 1:29 PM 

To: Guerette, Susan <sguerette@fisherphillips.com> 

Cc: 'Chris Griesmeyer' <cgriesmeyer@grglegal.com> 

Subject: RE: FINRA Case ID: 20-01110 Fidelity Brokerage Services LLC vs. Jennifer Allison Taylor 

Good afternoon, 

Please provide me with a status update for the above mentioned matter. 

Kind Regards, 

Elodia Huicochea 

Senior Case Specialist, Midwest Regional Office 

FINRA Dispute Resolution Services 

55 W. Monroe Street, Suite 2600 

Chicago, Illinois 60603 

Tel: 312-899-4422 

E-mail: Elodia.Huicochea@FINRA.org

DR Portal 

Follow us on Twitter @FINRA_DR [twitter.com]

Case: 1:20-cv-02133 Document #: 106-3 Filed: 02/23/22 Page 21 of 23 PageID #:2531
12

From: Huicochea, Elodia 

Sent: Tuesday, June 2, 2020 12:48 PM 

To: 'Guerette, Susan' <sguerette@fisherphillips.com> 

Cc: Chris Griesmeyer <cgriesmeyer@grglegal.com> 

Subject: RE: FINRA Case ID: 20-01110 Fidelity Brokerage Services LLC vs. Jennifer Allison Taylor 

Good afternoon, 

Please provide me with a status update for the above mentioned matter. 

Kind Regards, 

Elodia Huicochea 

Senior Case Specialist, Midwest Regional Office 

FINRA Dispute Resolution Services 

55 W. Monroe Street, Suite 2600 

Chicago, Illinois 60603 

Tel: 312-899-4422 

E-mail: Elodia.Huicochea@FINRA.org

DR Portal 

Follow us on Twitter @FINRA_DR [twitter.com]

From: Guerette, Susan <sguerette@fisherphillips.com> 

Sent: Tuesday, May 5, 2020 10:12 AM 

To: Huicochea, Elodia <Elodia.Huicochea@finra.org> 

Cc: Chris Griesmeyer <cgriesmeyer@grglegal.com>; Guerette, Susan <sguerette@fisherphillips.com> 

Subject: RE: FINRA Case ID: 20-01110 Fidelity Brokerage Services LLC vs. Jennifer Allison Taylor 

EXTERNAL: Verify sender before opening attachments or links.

Ms. Huicochea, 

An injunction has not been issued, I will let you know if the Court enters one. 

FYI Ms. Taylor is represented by Christopher Griesmeyer (contact information below and also copied on this email). 

Regards, 

Susan 

Christopher S. Griesmeyer 

GREIMAN, ROME & GRIESMEYER, LLC 

Two North LaSalle, Suite 1601 

Case: 1:20-cv-02133 Document #: 106-3 Filed: 02/23/22 Page 22 of 23 PageID #:2532
13

Chicago, Illinois 60602 

(312) 428-2741 (Direct) 

(312) 339-7439 (Mobile) 

From: Huicochea, Elodia <Elodia.Huicochea@finra.org> 

Sent: Tuesday, May 5, 2020 10:41 AM 

To: Guerette, Susan <sguerette@fisherphillips.com> 

Subject: RE: FINRA Case ID: 20-01110 Fidelity Brokerage Services LLC vs. Jennifer Allison Taylor 

Good morning, 

Please provide me with the status of the preliminary injunction for the above mentioned matter. 

Kind Regards, 

Elodia Huicochea 

Senior Case Specialist, Midwest Regional Office 

FINRA Dispute Resolution Services 

55 W. Monroe Street, Suite 2600 

Chicago, Illinois 60603 

Tel: 312-899-4422 

E-mail: Elodia.Huicochea@FINRA.org

DR Portal 

Follow us on Twitter @FINRA_DR [twitter.com]

Confidentiality Notice:: This email, including attachments, may include non-public, proprietary, confidential or legally 

privileged information. If you are not an intended recipient or an authorized agent of an intended recipient, you are 

hereby notified that any dissemination, distribution or copying of the information contained in or transmitted with this 

e-mail is unauthorized and strictly prohibited. If you have received this email in error, please notify the sender by 

replying to this message and permanently delete this e-mail, its attachments, and any copies of it immediately. You 

should not retain, copy or use this e-mail or any attachment for any purpose, nor disclose all or any part of the contents 

to any other person. Thank you. 

Case: 1:20-cv-02133 Document #: 106-3 Filed: 02/23/22 Page 23 of 23 PageID #:2533