Search for: "Fidelity Brokerage Services LLC"
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9 Jul 2018, 12:46 pm
Morgan Stanley DW Inc Cynthia Mae Moore The Huntington Investment Company Felipe De Jesus U Munive Allstate Financial Services, LLC Gordon Beecher Nitka MML Investors Services, LLC MassMutual Life Insurance Company Daniel Ochoa Farmers Financial Solutions, LLC Joshua Alexander Stephens-Anselm JP Morgan Securities LLC Capital One Bank NA John Bradford… [read post]
9 Jul 2018, 12:43 pm
According to FINRA Disciplinary actions for June 2018, 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 Donald Nelson Bower III Edward Jones Invest Financial Corp Christopher Masharn Bruce Statefarm VP Management Corp Chris Bruce Insurance Agency… [read post]
4 Apr 2018, 7:33 am
Benjamin Asa Duty State Farm VP Management Corp Colleen Elizabeth Flanagan Fidelity Brokerage Services LLC Marques Alexander Green NY Life Securities LLC MetLife Securities Inc. [read post]
10 Mar 2018, 12:00 am
Fidelity is a custodian people know. [read post]
6 Feb 2018, 7:36 am
Gould, Ambroson & Associates Colleen Elizabeth Flanagan Fidelity Brokerage Services LLC Roy Aurelio Gaytan Transamerica Financial Advisors, Inc. [read post]
27 Jan 2018, 12:00 am
They’re TD Ameritrade, Fidelity, Scottrade. [read post]
25 Aug 2017, 4:00 am
TD Ameritrade Solo 401(k) The TD Ameritrade Solo 401(k) offers full brokerage services and commission-free ETFs from Vanguard. [read post]
16 Aug 2017, 8:27 am
., Fidelity Brokerage Services, E*Trade Securities, Edward D. [read post]
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]
10 Jul 2017, 6:56 am
Finally form October 2014 until May 2015, DeBoer was associated with Fidelity Brokerage Services LLC out of the firm’s Clearwater, Florida office location. [read post]
3 Feb 2016, 10:42 am
InvestmentNews recently published a list of 10 high yield funds that have a high level of exposure to distressed debt: Federated High Yield Service (FHYTX) Waddell & Reed High-Income A (UNHIX) Osterweis Strategic Income (OSTIX) Fidelity Advisor High Income Advantage A (FAHDX) Ivy High Income C (WRHIX) Third Avenue Focused Credit Instl (TFCIX) Artisan High Income Advisor (APDFX) American Funds American High-Inc A (AHITX) Western Asset Short Duration High Inc B (SHICX) Northern… [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]
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]
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]
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]
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]
15 Apr 2015, 12:50 pm
Moreover, all of the largest firms (known as “wirehouses”) are named in the indictment – Merrill Lynch, Wells Fargo, Morgan Stanley and UBS – as well as a host of major brokerage firms – Fidelity Investments, Ameriprise, Allstate Financial, Berthel Fisher and Charles Schwab. [read post]
5 Sep 2014, 5:00 am
We formed a three-person teaching team: Margaret Hagan, a legal designer based at Stanford’s d.school; Alex Gavis, in-house counsel at Fidelity Investments with expertise in consumer and financial regulations and product design; and Kursat Ozenc, an interaction designer trained at Carnegie Mellon’s Design School and working at Autodesk. [read post]
5 Sep 2014, 5:00 am
We formed a three-person teaching team: Margaret Hagan, a legal designer based at Stanford’s d.school; Alex Gavis, in-house counsel at Fidelity Investments with expertise in consumer and financial regulations and product design; and Kursat Ozenc, an interaction designer trained at Carnegie Mellon’s Design School and working at Autodesk. [read post]
9 Jun 2014, 4:31 am
The plaintiffs in these cases were employees of Fidelity Brokerage Services LLC, a subsidiary of FMR Corp. and a private company. [read post]
