Ryan Scott Mallow of Jacksonville, Florida, a stockbroker registered with Fidelity Brokerage Services LLC, was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $75,000.00 in damages based upon allegations that Mallow made misrepresentations of material fact in connection with the recommendation and sale of investments when Mallow was associated with Fidelity Brokerage Services LLC. Financial Industry Regulatory Authority (FINRA) Arbitration No. 20-01383 (October 4, 2022).
This is not the first time that Mallow has been referenced in a customer initiated investment related dispute concerning Mallow’s conduct in the securities industry. FINRA Public Disclosure shows that Mallow was also referenced in a customer initiated investment related NASD securities arbitration claim that was settled for $20,000.00 in damages based upon allegations that Mallow failed to execute a stop loss order when Mallow was associated with Stratton Oakmont Inc. NASD Arbitration No. 95-04241 (September 10, 1996).
Mallow was associated with Strategic Advisers LLC in Boston, Massachusetts, as a stockbroker from August of 2010 to July of 2018.
Mallow has been associated with Fidelity Brokerage Services LLC in Jacksonville, Florida, as a stockbroker since June 28, 2010.
