Articles Tagged with Fidelity Brokerage Services LLC

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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

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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

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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.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Glaser (Glaser), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Glaser 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 $93,956.00 on November 24, 2020.

Customer complaint received alleging Mr. Glaser failed to follow instructions with respect to the sale of two positions within a managed account.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Taylor (Taylor), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Taylor 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 $50,000.00 on February 01, 2021.

Customer alleged that the representative provided inaccurate information regarding the deadline for the exercise of certain options contracts.

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

FINRA BrokerCheck shows a settled customer complaint on May 03, 2021.

Client alleges, inter alia, unsuitability with respect to investments – 2011-2016 Damages unspecified

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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 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.

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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.

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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.

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New York, NY 10017
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#100
Chicago, IL 60613
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#1
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