Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Mallow (Mallow), previously associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mallow 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 $350,000.00 on May 01, 2020.
Arbitration statement of claim contained an allegation that representative misrepresented the level of risk associated with securities in a managed account.