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Allegations that the representative secured sponsorship credit for himself and his family, using funds intended to secure sponsorship credit for the firm. The funds themselves were accounted for and there was no misappropriation or theft of funds.
2/20/2019
Employment Separation After Allegations
Firm Name
FIDELITY PERSONAL AND WORKPLACE ADVISORS
Termination Type
Permitted to Resign
Allegations
Allegations that the representative secured sponsorship credit for himself and his family, using funds intended to secure sponsorship credit for the firm. The funds themselves were accounted for and there was no misappropriation or theft of funds.
4/27/2000
Customer Dispute
Denied
Allegations
CUSTOMER FEELS THAT REPRESENTATIVE PURCHASED A 5 YEAR BOND WHEM HE WANTED A 1 YEAR BOND. REQUESTING VALUE OF PURCHASES PLUS INTEREST
Damage Amount Requested
$7,000.00
Broker Comment
MATTER WAS LOOKED INTO BY REPRESENTATIVE, OPERATIONS MANAGER, AND MANAGER USING DOCUMENTED INTERACTIONS AND INTERVIEWING WITNESSES. EVERY DETAIL OF SAID BOND PURCHASE WAS THOROUGHLY AND COMPLETELY DISCUSSED AND UNDERSTOOD. EVEN AFTER REPEATED INTERACTIONS IN SUMMER AND FALL 1999, CLIENT ONLY MENTIONED DISSATISFACTION AFTER INTEREST RATE INCREASES IN EARLY 2000.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.