Fidelity Brokerage Services LLC

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

July 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kelly Johnston (Johnston), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Johnston 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 $25,000,000.00 on August 21, 2023.

This institutional customer, an SEC-registered public company, contends that the representative did not disclose that fixed income mutual funds could lose principal and that its investments in several fixed income mutual funds were unsuitable because they were subject to potential principal loss.

There are Recent Customer Complaints with Broker Eric Diamond in Firm Fidelity Brokerage Services LLC

July 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Diamond (Diamond), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Diamond 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 $25,000,000.00 on August 21, 2023.

This institutional customer, an SEC-registered public company, contends that the representative did not disclose that fixed income mutual funds could lose principal and that its investments in several fixed income mutual funds were unsuitable because they were subject to potential principal loss.

Broker Tyler Cardon in Fidelity Brokerage Services LLC Firm Has Customer Complaint

July 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tyler Cardon (Cardon), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cardon 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 $63,733.00 on September 14, 2023.

Customer alleged that the representative did not explain potential tax implications to invest in a managed account.

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

June 19, 2025 | 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 Kevin O’sullivan in Commonwealth Financial Network Firm Has Customer Complaint

June 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin O’sullivan (O’sullivan), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that O’sullivan 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 $300,000.00 on September 19, 2024.

Claimant alleges the RR recommended an unsuitable Oil & Gas investment.

There are Recent Customer Complaints with Broker Matthew Hyson in Firm Fidelity Brokerage Services LLC

June 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Hyson (Hyson), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hyson 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 September 09, 2019.

The customer alleges misrepresentation from October 2018 until September 2019.

Broker Candace Huston in Fidelity Brokerage Services LLC Firm Has Customer Complaint

May 27, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint with a damage request of $49,950.00 on March 14, 2024.

Customer alleges receiving incorrect information prior to agreeing to a managed account solution.

There are Recent Customer Complaints with Broker Anthony Mesquit in Firm Fidelity Brokerage Services LLC

May 27, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint with a damage request of $49,950.00 on March 14, 2024.

Customer alleges receiving incorrect information prior to agreeing to a managed account solution.

There are Recent Customer Complaints with Broker Kevin O’callahan in Firm Fidelity Brokerage Services LLC

May 23, 2025 | 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 Michael Gibson in Fidelity Brokerage Services LLC Firm Has Customer Complaint

May 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 29, 2024.

Plaintiff alleges that from 2006 through 2008, the financial advisor made unsuitable recommendations.