Articles Tagged with Fidelity Brokerage Services LLC

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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.

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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 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.

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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.

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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.

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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.

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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 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.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alex Love (Love), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Love 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 $250,000.00 on November 15, 2024.

Customer alleges that the registered representative made an unauthorized sale of stock.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Valdivia (Valdivia), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Valdivia 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 $95,398.72 on March 17, 2025.

Customer alleges that the managed account was unsuitable for his investment needed.

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