Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Fidelity Brokerage Services. If you suffered losses investing with Fidelity Brokerage Services, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Fidelity Brokerage Services (CRD# 7784) (SEC# 8-23292)
As of April 4, 2020, Fidelity Brokerage Services’s FINRA BrokerCheck Report contains the following:
20 Regulatory Event Disclosures
113 Arbitration Disclosures
Main Office Location
900 SALEM STREET
SMITHFIELD, RI 02917
TWO DESTINY WAY
MAIL ZONE: WG3D
WESTLAKE, TX 76262
Business Telephone Number
Direct Owners and Executive Officers
FIDELITY GLOBAL BROKERAGE GROUP, INC., MEMBER
ASHKENAS, NORMAN LEE (CRD#:2467840), CHIEF COMPLIANCE OFFICER
BARRY, KEVIN MARK (CRD#:6039461), PRESIDENT/DIRECTOR WORKPLACE INVESTING
CANTER, DAVID EDWARD (CRD#:4155942), EVP – FIDELITY CLEARING & CUSTODY SOLUTIONS/DIRECTOR
COYNE, DAVID BUTLER (CRD#:2167479), EXECUTIVE VICE PRESIDENT
CUMMINGS, ROBERT JOSEPH (CRD#:2152952), CHIEF OPERATIONS OFFICER
FAY, ANDREW THOMAS (CRD#:2900016), SVP, FIDELITY FAMILY OFFICE SERVICES
FORMAN, DAVID, SECRETARY AND GENERAL COUNSEL
LYONS, MICHAEL JOSEPH (CRD#:4610621), CHIEF FINANCIAL OFFICER
MURPHY, KATHLEEN (CRD#:3272676), PRESIDENT/DIRECTOR PERSONAL INVESTING
O’BRIEN, RICHARD J (CRD#:2707197), CO-CCO
SUBRAMANIAM, SRIRAM P (CRD#:4327279), PRESIDENT/CEO/DIRECTOR
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
This information is all publicly available and is being provided to you by Galvin Legal, PLLC.
Galvin Legal, PLLC is a national securities arbitration, securities mediation, securities litigation, securities fraud, securities regulation and compliance, and investor protection law practice. For more information on Galvin Legal, PLLC and its representation of investors, please visit www.galvinlegal.com or call 1-800-405-5117.