Fidelity Brokerage Services

  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Fidelity Brokerage Services Broker Sara Scaldini
Rex Securities Law Investment Fraud Attorney Investigates Fidelity Brokerage Services Broker Sara Scaldini 150 150 Robert Rex, Esq.

Last Updated: December 2023 (Boca Raton, FL) Saralyn Scaldini Investigation Summary Here’s what you need to know about Boca Raton, FL, stockbroker Sara Scaldini: Name: Saralyn Scaldini Current Employer: Fidelity…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Fidelity Brokerage Services Broker Vivian Griffith
Rex Securities Law Investment Fraud Attorney Investigates Fidelity Brokerage Services Broker Vivian Griffith 150 150 Robert Rex, Esq.

Last Updated: October 2023 (Houston, TX) Vivian Griffith Investigation Summary Here’s what you need to know about Houston, TX, stockbroker Vivian Griffith: Name: Vivian Herding Griffith Current Employer: Fidelity Brokerage…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Fidelity Brokerage Services Broker Timothy Glaser
Rex Securities Law Investment Fraud Attorney Investigates Fidelity Brokerage Services Broker Timothy Glaser 150 150 Robert Rex, Esq.

Last Updated: October 2023 (Westlake, Texas) Timothy Glaser Investigation Summary Here’s what you need to know about Westlake, Texas, stockbroker Timothy Glaser: Name: Mr. Timothy M. Glaser Current Employer: Fidelity…

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  • ER

Eric Stone- Former Fidelity Brokerage Services Advisor- Borrows From Client – Barred From Industry by Securities Regulators -Jacksonville, FL
Eric Stone- Former Fidelity Brokerage Services Advisor- Borrows From Client – Barred From Industry by Securities Regulators -Jacksonville, FL 150 150 ER

Eric Stone Investigation June  2023-Jacksonville, FL According to publicly available records Eric James Stone a former broker who last worked for Fidelity Brokerage Services,  discloses a regulatory matter resulting in a…

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  • ER

Frank Mathis- Former Fidelity Brokerage Services Broker-Barred From Securities Industry by Regulators – Westlake, TX
Frank Mathis- Former Fidelity Brokerage Services Broker-Barred From Securities Industry by Regulators – Westlake, TX 150 150 ER

Frank Mathis Investigation June 2022-Westlake , TX  According to publicly available records Frank Mathis, a former broker who last worked for  Fidelity Brokerage Services,  discloses a final regulatory matter resulting in…

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  • Robert Rex, Esq.

Fidelity Ordered to Pay $500,000 Fine For Failing to Failing to Identify “Red Flags” Associated with Broker Theft
Fidelity Ordered to Pay $500,000 Fine For Failing to Failing to Identify “Red Flags” Associated with Broker Theft 150 150 Robert Rex, Esq.

December 18, 2015- Fidelity Brokerage Services , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between August 2006 and…

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  • Robert Rex, Esq.

Sam Stull-Grapevine Texas StockBroker-Sanctioned for Forgery
Sam Stull-Grapevine Texas StockBroker-Sanctioned for Forgery 150 150 Robert Rex, Esq.

March 30, 2015, Grapevine, Texas  Sam Marshall Stull  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he forged the signatures of…

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