Tag Archives: Fidelity Brokerage Services LLC

Investors Bring Claims Against Fidelity For Bad Investment Advice

July 29, 2020  |   Posted by :   |   Securities Arbitration Claims   |   Comments Off on Investors Bring Claims Against Fidelity For Bad Investment Advice

Anthony Mesquit of Jacksonville Florida a stockbroker currently registered with Fidelity Brokerage Services LLC and Fidelity Personal Workplace Advisors is the subject of a customer initiated investment related arbitration claim in which the customer requested $750,000.00 in damages based upon allegations of unsuitable recommendations by the stockbroker “to name a donor advised fund as the […]

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Investors Claim Fidelity Brokerage Provided Bad Annuity Advice

July 11, 2020  |   Posted by :   |   Variable Annuites   |   Comments Off on Investors Claim Fidelity Brokerage Provided Bad Annuity Advice

Ryan Sanghak Lee of Wayne New Jersey a stockbroker formerly registered with Fidelity Brokerage Services is the subject of a customer initiated investment related written complaint on May 15, 2019 where the customer sought $22,000.00 in damages based upon accusations that Lee poorly advised the customer in regards to surrendering an annuity for managed account […]

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FINRA Bars Fidelity Stockbroker In Investigation

April 23, 2020  |   Posted by :   |   Investment and Regulatory News, Variable Annuites   |   Comments Off on FINRA Bars Fidelity Stockbroker In Investigation

Gregory John Stouffer of New York New York a stockbroker formerly registered with Gregory John Stouffer has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to furnish information and documentation to FINRA when he was under investigation. Letter of Acceptance […]

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Investor Accuses Fidelity Of Failure To Follow Instructions

September 28, 2018  |   Posted by :   |   Failure to Execute, Investment and Regulatory News   |   0 Comments

Donald Anthony Canade of Huntington Station New York a stockbroker currently employed by Fidelity Brokerage Services LLC is the subject of a customer initiated investment related written complaint on July 2, 2018 in which the customer requested $79,506.00 in damages founded on allegations that Canade caused the customer to incur unwarranted tax consequences resulting from […]

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Fidelity Fires Broker For Unauthorized Transactions

December 15, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Shannon Christopher Taylor, of Durham, North Carolina, a stockbroker formerly registered with Fidelity Brokerage Services LLC, was fired on April 27, 2017, founded on allegations that trades failed to be executed by Taylor as required, and the firm’s departmental protocol was violated as a result of Taylor’s failure to accurately report his communications with customers […]

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