Fidelity Brokerage Services LLC Tag Archives

Broker Jesse Burns in Fidelity Brokerage Services LLC Firm Has Customer Complaint

November 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jesse Burns (Burns), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Burns recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $22,873.74 on May 13, 2022.

Customer alleged that the representative misrepresented the risk of investments losses in her managed account.

Broker Craig Kapp in Fidelity Brokerage Services LLC Firm Has Customer Complaint

November 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Kapp (Kapp), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kapp recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on August 08, 2022.

The client alleges that the registered representative was not acting in her best interest in December 2021 when he surrendered her investment accounts, creating a tax liability.

There are Recent Customer Complaints with Broker David Bedford in Firm Fidelity Brokerage Services LLC

October 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Bedford (Bedford), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bedford recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000.00 on December 14, 2022.

Customer alleged that the variable annuity was an unsuitable investment for her investment needs.

There are Recent Customer Complaints with Broker Jeffrey Crum in Firm Fidelity Brokerage Services LLC

October 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Crum (Crum), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Crum recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000.00 on December 14, 2022.

Customer alleged that the variable annuity was an unsuitable investment for her investment needs.

There are Recent Customer Complaints with Broker Karl Tweardy in Firm Fidelity Brokerage Services LLC

October 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Karl Tweardy (Tweardy), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tweardy recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $10,000.00 on January 23, 2023.

Client alleged he did not receive a product prospectus for the investment in question. Notes in the CRM file prior to contract issue indicated the RR understood the customer wanted 0% risk with this investment, however, allocation instructions which would have allowed for this level of loss protection were never passed along to the insurance carrier. The customer was invested in an allocation that limited total loss, but that did not totally eliminate it.

There are Recent Customer Complaints with Broker Nathan Alexander in Firm Fidelity Brokerage Services LLC

September 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nathan Alexander (Alexander), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Alexander recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $6,355.00 on February 14, 2023.

Customer alleged that the representative did not disclose the taxability of changing investment products.

There are Recent Customer Complaints with Broker John Jamieson in Firm Fidelity Brokerage Services LLC

September 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Jamieson (Jamieson), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jamieson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $15,174.00 on February 22, 2023.

Customer alleged that the representative did not disclose the taxability of changing investment products.

There are Recent Customer Complaints with Broker Darin Guthrie in Firm Fidelity Brokerage Services LLC

September 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Darin Guthrie (Guthrie), previously associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Guthrie recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $60,000.00 on March 16, 2023.

Allegation that representative made misrepresentations in connection with a recommendation to transfer an annuity to the Firm. The notation stated that there was some sort of improper transfer of an annuity in 03/16/2023. The complaint came in after I left the firm voluntarily in February of 2023. I did not get compensated for transfers of annuities at Fidelity so this transaction is unclear to me. I did not receive any type of notification about this event, rather I found it on my U4 when I was applying for other roles. I have worked with annuities for over 20 years and have always taken pride in doing the right thing for clients. Fidelity settled with the client and I never had a chance to defend or explain myself.

There are Recent Customer Complaints with Broker Joseph Wagstaff in Firm Fidelity Brokerage Services LLC

August 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Wagstaff (Wagstaff), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wagstaff recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $184,000.00 on July 12, 2023.

Customer alleged that the representative made an unsuitable recommendation to transfer an annuity that caused a tax event.

Broker Nohra Bello in Fidelity Brokerage Services LLC Firm Has Customer Complaint

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nohra Bello (Bello), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bello recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on September 26, 2022.

The customers allege an unsuitable investment strategy, omission of materials facts and that the Financial Advisor was not acting in their best interest from August of 2020 until January of 2021.