Search for: "Fidelity Brokerage Services LLC"
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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]
24 Feb 2014, 4:30 am
[FL HOMESTEAD] In January, Sofia withdrew $3,296,431.51 from her Fidelity account, depleting its value to $16,371.88. [read post]
1 Nov 2013, 10:21 am
Amakwe, Respondent (AWC 2011030473001, October 30, 2013).Amakwe entered the securities industry in 2004 with FINRA member firm Fidelity Brokerage Services LLC, where he remained until he... [read post]
30 Oct 2013, 8:00 am
Background Jackie Hosang Lawson, the named plaintiff, worked as a Senior Director of Finance for Fidelity Brokerage Services, LLC, an entity related to mutual fund giant Fidelity. [read post]
10 Oct 2013, 6:24 am
Various reports indicated that William Galvin, the Massachusetts Secretary of the Commonwealth, said he is investigating three large fund managers, Fidelity Investments, OppenheimerFunds, a unit of MassMutual Life Insurance Co. and UBS Financial Services, to determine how they sold mutual funds with heavy concentrations of Puerto Rico debt and how they disclosed the risk. [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]
16 Oct 2012, 1:59 pm
In Fidelity Brokerage Services LLC v. [read post]
16 Oct 2012, 1:59 pm
In Fidelity Brokerage Services LLC v. [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]
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]
25 Mar 2012, 2:19 pm
The Health and Human Services Department released the final rules Feb. 9 under requirements in the Patient Protection and Affordable Care Act, Pub. [read post]
18 Feb 2012, 5:15 am
Instead, Lawson and Zang worked either for FMR LLC or one of its subsidiaries, Fidelity Brokerage Services, LLC. [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]
7 Jan 2012, 3:13 pm
The other financial firms, ranking in the order that follows, are Charles Schwab, TD Ameritrade, Etrade, Fidelity Brokerage Services, WellsTrade (Wells Fargo), Merrill Edge/Bank of America, and Morgan Stanley Smith Barney LLC. [read post]
5 Dec 2011, 12:53 pm
For example, in the 2004 Fidelity Brokerage Services LLC case, pre-announced inspections resulted in employees altering and destroying documents, among other things. [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]
23 Aug 2010, 4:15 am
In the Insurance Brokerage Antitrust cases, there were, shall we say, a lot of defendants*, defendants who, for purposes of antitrust and RICO allegations, could have been configured in a wide variety of ways. [read post]
21 Aug 2010, 9:29 am
The categories include: Basics & Structure Offering Documents Service Providers Investment Adviser Regulation Futures & Commodities Regulation Marketing & Advertising Operational Issues We would also like to remind managers who are thinking of starting a fund to view our Start Up Presentation. [read post]
6 Apr 2010, 5:00 am
In the first case, plaintiff, Jackie Hosang Lawson sued FMR LLC, FMR Corp. and Fidelity Brokerage Services. [read post]
