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ALLEGATIONS WERE MADE THAT EMPLOYEE ACCESSED CUSTOMER INFORMATION FOR NON-BUSINESS REASON AND DISCUSSED THAT INFORMATION WITH OTHER EMPLOYEES. NOT SALES PRACTICE RELATED.
5/29/2014
Employment Separation After Allegations
Firm Name
FIDELITY BROKERAGE SERVICES LLC
Termination Type
Permitted to Resign
Allegations
ALLEGATIONS WERE MADE THAT EMPLOYEE ACCESSED CUSTOMER INFORMATION FOR NON-BUSINESS REASON AND DISCUSSED THAT INFORMATION WITH OTHER EMPLOYEES. NOT SALES PRACTICE RELATED.
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.