Search for: "Fidelity Brokerage Services LLC"
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7 Aug 2017, 9:30 am
The post FINRA Fines Fidelity Brokerage Services LLC for Compliance Issues appeared first on White Securities Law. [read post]
24 Sep 2010, 12:35 pm
Fidelity Brokerages Services LLC has been ordered to pay $110,000 to an elderly client whose account suffered major losses because it was repeatedly shuffled from agent to agent. [read post]
27 Oct 2015, 8:28 am
On October 26, the New York Times Dealbook published an article on the administrative case filed against Fidelity Brokerage Service LLC by the Massachusetts secretary of the commonwealth, William F. [read post]
8 Apr 2009, 6:39 pm
A number of Fidelity Brokerage Services LLC representatives who left the company last year say that they were obligated to acquire certified financial planner certification but were also barred from revealing that part of their bonuses were affected by whether they sold certain proprietary products. [read post]
16 Oct 2012, 1:59 pm
In Fidelity Brokerage Services LLC v. [read post]
19 Jul 2012, 6:45 am
Finra alleged that Fidelity’s two broker-dealers, Fidelity Brokerage Services LLC and Fidelity Investments Institutional Services Co. [read post]
19 Jul 2012, 6:45 am
Finra alleged that Fidelity’s two broker-dealers, Fidelity Brokerage Services LLC and Fidelity Investments Institutional Services Co. [read post]
28 Apr 2009, 9:18 am
Fidelity Brokerage Services LLC has had trouble retaining some of the most successful brokers in its Private Client Group as a result of questionable sales practices. [read post]
16 Oct 2012, 1:59 pm
In Fidelity Brokerage Services LLC v. [read post]
27 Oct 2015, 7:28 pm
The Massachusetts securities division has reportedly filed an administrative complaint against Fidelity Brokerage Services alleging the firm allowed unregistered individuals to act as investment advisors. [read post]
19 Nov 2015, 6:35 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Massachusetts securities division has charged Fidelity Brokerage Services LLC with knowingly allowing unregistered individuals to act as investment advisors for Fidelity customers.Fidelity allowed more than a dozen unregistered individuals to use trading authorizations for more than 300 accounts, despite internal concerns that the individuals should be registered as investment advisors.However,… [read post]
25 Jul 2022, 4:10 am
Read More . . .Fidelity Brokerage Services Has Two Trains Runnin' in FINRA Arbitration and Federal Court (BrokeAndBroker.com Blog)https://www.brokeandbroker.com/6566/fidelity-finra-ndil/Fidelity Brokerage Services LLC filed a FINRA Arbitration Statement of Claim... [read post]
18 May 2015, 8:09 am
The Law offices of Gana LLP are pleased to announce that their client recently received a FINRA arbitration award of $400,000 in case where the former Fidelity Brokerage Services LLC (Fidelity) brought claims against his former employer for common law negligence and failure to supervise. [read post]
6 Mar 2020, 1:30 am
Fidelity Brokerage Services LLC, Respondent (FINRA Arbitration Decision)... [read post]
23 Aug 2012, 9:50 pm
Inc. and Fidelity Brokerage Services LLC, two Fidelity broker-dealers, failed to provide adequate supervisory procedures and produced misleading advertising and sales materials for the fund. [read post]
23 Dec 2019, 1:40 pm
According to FINRA Disciplinary actions for December 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules NAME FORMER EMPLOYERS DiLiberto, Jesse Fidelity Brokerage Services LLC Wilmington Capital Securities, LLC Fry, Stephen … [read post]
21 Aug 2018, 5:14 am
Morgan Securities LLC Chase Investment Services Corp Spencer Joseph Lassetter Fidelity Brokerage Services LLC Andrea Marie Milinkovic PNC Investments Suntrust Investment Services, Inc Stephen Allen Murray Raymond James & Associates, Inc Morgan Keegan & Company, Inc George James Oldoerp H. [read post]
11 Jul 2013, 7:25 am
The targeted firms are reportedly: Morgan Stanley, Merrill Lynch, UBS Securities LLC, Fidelity Brokerage Services LLC, Charles Schwab & Co. [read post]
2 Jul 2015, 7:34 am
From the Desk of Jim Eccleston at Eccleston Law LLC:A houston-based firm has won a rare victory against the SEC in a case focused on advisers, accepting payments from brokerage firms.The SEC judge dismissed the allegations that the firm continued fraud by not sufficiently disclosing a financial relationship with Fidelity Investments. [read post]
21 May 2020, 7:12 am
According to FINRA Disciplinary actions for February 2020, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS DiLiberto, Jesse Fidelity Brokerage Services Wilmington Capital Securities, LLC Fry, Stephen Woodbury Financial… [read post]
