Tag: Fidelity Brokerage Services
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,...
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)...
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...