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Company: Fidelity Brokerage Services LLC
Current Parent Company:
Fidelity Investments
Parent at the Time of the Penalty Announcement:
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Penalty: $7,500
Year: 2011
Date: October 14, 2011
Offense Group: financial offenses
Primary Offense: investor protection violation
Level of Government: state
Action Type: agency action
Agency: Indiana Securities Division
Civil or Criminal Case: civil
Case ID: 11-0301 CA
Facility State: Indiana
HQ Country of Current Parent: USA
HQ State of Current Parent: Massachusetts
Ownership Structure of Current Parent: privately held
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: financial services
Source of Data:
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the
Update Log.
