Fidelity Brokerage Services LLC

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.

Broker Alex Love in Fidelity Brokerage Services LLC Firm Has Customer Complaint

May 22, 2025 | by Staff Attorney

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.

Broker Paul Valdivia in Fidelity Brokerage Services LLC Firm Has Customer Complaint

May 19, 2025 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker Patrick Norris in Firm Fidelity Brokerage Services LLC

May 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Norris (Norris), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Norris 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 $17,019.00 on March 24, 2025.

The client alleged that in April 2022, the advisor informed her that if she distributed funds from her Q John Hancock annuity and transferred them to her Ameriprise IRA it would not be a taxable event; however, John Hancock reported this as income causing her to incur taxes and penalties.

There are Recent Customer Complaints with Broker Sicheng Tao in Firm Fidelity Brokerage Services LLC

May 2, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 24, 2024.

Time Frame: September 13th, 2021 to March 16th, 2022 What were the allegations against the individual? The firm settled a matter where the client alleges she was not made aware her money was placed in bond funds and that the risk of the bon fund was never disclosed. The client further alleges the trade was unauthorized.

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

April 30, 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 Jon Urbach in Fidelity Brokerage Services LLC Firm Has Customer Complaint

April 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jon Urbach (Urbach), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Urbach 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 $426,273.00 on July 02, 2024.

Customer alleged that the registered representative made improper referral to unaffiliated advisor.

There are Recent Customer Complaints with Broker Iam Aguilar in Firm Fidelity Brokerage Services LLC

April 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on July 30, 2024.

Respondent Aguilar failed to respond to FINRA requests for information.

Broker Anthony Walia in Fidelity Brokerage Services LLC Firm Has Customer Complaint

March 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 11, 2025.

Regarding a rollover to a managed account IRA made in 2017, the client alleges the rollover was not in his best interest.

There are Recent Customer Complaints with Broker Jordan Allen in Firm Fidelity Brokerage Services LLC

February 27, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Jordan Allen (Allen) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Allen was employed by Fidelity Brokerage Services LLC at the time of the activity. If you have been a victim of Allen’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a final customer complaint on November 08, 2024.

Without admitting or denying the findings, Allen consented to the sanctions and to the entry of findings that he participated in private securities transactions by placing trades in a customer’s account held at another member firm, without providing notice to his member firm. The findings stated that Allen and the customer had a personal relationship, and the customer provided Allen with his log-in credentials to make transactions in the outside account. In total, Allen executed 1,507 trades in the account, including options transactions, totaling $726,585 in gross value. Allen did not receive compensation for the transactions. When the trading came to his firm’s attention, Allen initially misled the firm and stated that he had only been conducting paper trades in the account.