Articles Tagged with Fidelity Brokerage Services LLC

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The securities attorneys at Gana Weinstein LLP represent investors in their disputes with brokerage firms, such as Fidelity Brokerage Services LLC. Our firm can analyze your accounts and investments in order to determine if there was any broker misconduct in the handling of your accounts. Our analysis can reveal whether an investor has been a victim of misconduct such as unsuitable investments, unauthorized trading, excessive trading, or investment fraud.

Fidelity Brokerage Services LLC is the retail broker-dealer of Fidelity Investments, offering brokerage accounts for personal and retirement investing, cash management, and trading in mutual funds, ETFs, stocks, bonds, college savings plans, and insurance products. The firm is a member of the New York Stock Exchange and offers retail brokerage accounts with no account minimums or account fees and commission-free online trading in U.S. stocks and ETFs.

Fidelity Brokerage Services LLC – By the Numbers:

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Provolt (Provolt), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Provolt 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 $75,962.00  on March 12, 2020.

Customer alleged that representative did not accurately represent the tax liabilities regarding the sales of certain securities.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Kirwan (Kirwan), currently associated with Fidelity Brokerage Services LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kirwan 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 $63,781.11  on June 05, 2020.

Customer alleged that the registered representative did not follow his instructions to liquidate his account.

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

FINRA BrokerCheck shows a settled customer complaint on March 12, 2020.

Client verbally complained that the financial advisor invested in securities that were outside the specific guidelines given by the client.

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $32,537.00  on April 27, 2026.

Customer alleged that the registered representative provided unsuitable advice by recommending a managed account.

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

FINRA BrokerCheck shows a settled customer complaint on June 07, 2024.

The customer alleges she was misled when she purchased a variable annuity in November 2021. The Customer no longer wants the annuity.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Mallow (Mallow), previously associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mallow 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 $350,000.00 on May 01, 2020.

Arbitration statement of claim contained an allegation that representative misrepresented the level of risk associated with securities in a managed account.

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

FINRA BrokerCheck shows a settled customer complaint on May 07, 2020.

Customer alleged that representative did not follow his instructions regarding trading in his managed accounts.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker S. Michael Helal (Helal), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Helal 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 $231,000.00 on May 05, 2020.

The customer alleged that the registered representative misrepresented the investment strategy of a managed account offered by an unaffiliated registered investment advisor when a referral was made to the unaffiliated advisor.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Kirwan (Kirwan), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kirwan 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 $63,781.11 on June 05, 2020.

Customer alleged that the registered representative did not follow his instructions to liquidate his account.

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295 Madison Ave #705
New York, NY 10017
Toll Free: 800-810-4262
3706 N Greenview Ave
#100
Chicago, IL 60613
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#1
Montclair, NJ 07042
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