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Articles Posted in Fidelity Brokerage Services

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Fidelity Accused of “Lackadaisical” Vetting of Investors Wanting To Trade in Complex, Risky Investments

Massachusetts’ Securities Regulator Says Fidelity Brokerage Services “Rubber Stamped” Options Trading Applications William Galvin, head of the Massachusetts Securities Division, has filed an administrative complaint against Fidelity Brokerage Services. The firm has been accused of not making a good enough attempt to vet investors’ applications before allowing them to engage…

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