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Violation Tracker Individual Record

Company: Fidelity Brokerage Services LLC
Current Parent Company: Fidelity Investments
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
Penalty: $750,000
Year: 2023
Date: October 2, 2023
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Fidelity agreed to pay $750,000 as part of a settlement of allegations the company had failed to reasonably supervise agents, investment adviser representatives or other employees to assure compliance with regulations.
Level of Government: state
Action Type: agency action
Agency: Massachusetts Securities Division
Civil or Criminal Case: civil
Facility State: Massachusetts
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: (click here)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.