Fidelity Brokerage Services LLC Tag Archives

Broker Sean Reardon in Fidelity Brokerage Services LLC Firm Has Customer Complaint

July 28, 2026 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker Kelly Deforrest in Firm Fidelity Brokerage Services LLC

June 27, 2026 | by Staff Attorney

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.

Broker Kevin O’callahan in Fidelity Brokerage Services LLC Firm Has Customer Complaint

June 19, 2026 | by Staff Attorney

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.

Broker Ryan Mallow in Fidelity Brokerage Services LLC Firm Has Customer Complaint

May 9, 2026 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker Brian Endicott in Firm Fidelity Brokerage Services LLC

May 8, 2026 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker S. Michael Helal in Firm Fidelity Brokerage Services LLC

May 8, 2026 | by Staff Attorney

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.

Broker Robert Kirwan in Fidelity Brokerage Services LLC Firm Has Customer Complaint

May 3, 2026 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker Patty Franklin in Firm Fidelity Brokerage Services LLC

April 8, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 28, 2026.

Breach of fiduciary duty; Violation of FINRA/NYSE rules, breach of contract and negligence; Violation of securities laws and other securities laws, acts and regulations; fraud and fraudulent inducement to hold investment; unjust enrichment

There are Recent Customer Complaints with Broker Cortez Patten in Firm Fidelity Brokerage Services LLC

March 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cortez Patten (Patten), previously associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Patten 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 $100,000.00 on October 27, 2020.

Breach of fiduciary duty in connection with SOAEX

There are Recent Customer Complaints with Broker Christopher Meadows in Firm Fidelity Brokerage Services LLC

March 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Meadows (Meadows), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Meadows 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 $165,000.00 on November 20, 2020.

Customer alleged that the representative recommended an investment product offered by an unaffiliated RIA that was not suitable given the customer’s risk profile.