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Tag: Fidelity Brokerage Services

Blog, Securities Fraud Articles

MA Commonwealth Secretary Galvin Investigates broker ‘kickbacks’

New York Times op-ed piece sparks investigation into broker kickbacks According to reports on Tuesday, Massachusetts securities regulator,...

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Blog, Securities Fraud Articles

Fidelity to Repurchase Illiquid Auction Rate Securities

Fidelity Brokerage Services LLC Agrees to Repurchase Illiquid Auction Rate Securities and FINRA Sets Up a Special Arbitration Panel (SAP)...

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Blog, Securities Fraud Articles

Sheila Dawnell Dowling barred from securities industry

FINRA recently announced that Sheila Dawnell Dowling, formerly of Fidelity Brokerage Services, LLC in Keller, Texas, has been barred from...

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