Fidelity Distributors Company LLC Tag Archives

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kerry Pope (Pope), previously associated with Fidelity Distributors Company LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pope 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, a 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.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Wagoner (Wagoner), currently associated with Fidelity Distributors Company LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wagoner 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.

Articles Tagged with Fidelity Distributors Company LLC

Broker Kerry Pope in Fidelity Distributors Company LLC Firm Has Customer Complaint

There are Recent Customer Complaints with Broker Jason Wagoner in Firm Fidelity Distributors Company LLC