Search for: "Fidelity Employer Services Company, LLC"
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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]
24 Nov 2013, 6:03 am
The Lawson Case The defendants are privately-held companies that, by contract, provide advisory and management services to the Fidelity family of mutual funds. [read post]
24 Oct 2013, 6:51 am
District Court in Boston, Massachusetts against her former employer alleging self-dealing with respect to the management of the FMR LLC Profit Sharing Plan, Fidelity’s 401(k) plan. [read post]
13 Aug 2015, 11:17 am
The company switched the employment status of brokers from employees to independent contractors. [read post]
11 Mar 2014, 3:39 pm
One of the employees worked for Fidelity Brokerage Services, LLC, a subsidiary of the Respondents, for 14 years. [read post]
16 Nov 2008, 6:32 pm
Fidelity Investments, the world's largest mutual fund company, will lay off 1,300 employees, or 3% of its work force this month. [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]
10 Nov 2008, 4:47 pm
Fidelity Investments, the world's largest mutual fund company, will lay off this month 1,300 employees or 3% of its work force. [read post]
6 Mar 2014, 8:22 am
As background, plaintiffs Lawson and Zang separately initiated lawsuits against their former employer, a privately held company that provided advisory management services to the Fidelity family of mutual funds. [read post]
3 Jan 2019, 5:57 am
According to FINRA Disciplinary actions for December 2018, 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 Barrick, Tabor FBL Marketing Services, LLC Allstate Financial Services, LLC Conklin, Jeffrey The Huntington… [read post]
11 Mar 2014, 8:48 am
There are a number of specific steps which private employers that provide any services to public companies need to take in response to Lawson. [read post]
12 Jul 2016, 2:02 pm
Transamerica joins a growing list of retirement plan service providers that have been the subject of similar excessive-fee lawsuits brought by their plan participants.The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
19 Mar 2014, 1:45 pm
In the Lawson case, two former employees filed suit against FMR and other related private companies that provide, under contract, investment advisory services to the Fidelity family of mutual funds, alleging unlawful retaliation under SOX. [read post]
16 Feb 2012, 10:03 am
Fidelity Management & Research LLC, et al., No. 10-2240 (1st Cir. [read post]
15 Feb 2012, 12:24 pm
” The employers of Lawson and Zang were each private companies that provided advising or management services by contract to the Fidelity family of mutual funds. [read post]
15 Feb 2012, 12:37 pm
” The employers of Lawson and Zang were each private companies that provided advising or management services by contract to the Fidelity family of mutual funds. [read post]
19 Mar 2014, 7:21 am
The respondent, FMR, LLC (FMR) is the parent company of Fidelity Investments and its various operations (FMR is Fidelity Management & Research) and my former employer. [read post]
11 Mar 2014, 9:31 am
” Private employers that provide services to public companies need to beware of this new development. [read post]
8 Feb 2012, 9:35 am
Lawson, a former employee of Fidelity Brokerage Services, LLC, a private subsidiary of FMR Corp., which was succeeded by FMR LLC (which collectively operate under the trade name Fidelity Investments), alleged she was constructively discharged in September 2007 in retaliation for raising concerns relating to cost accounting methodologies. [read post]
30 Mar 2012, 2:48 pm
The charges apparently relate to the various companies Elia started in 2000 out of Florida, including International Consultants and Investment Group Limited Corp., International Consultants and Enterprises, Inc., Vision Equities, Inc., Vision Equities Fund II, LLC, and Vision Equitieis Fund III, LLC. [read post]
