Securities Lawyers Blog
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