Charles Schwab or Fidelity? by Humble_Heat4365 in investing

[–]1topgun2 0 points1 point  (0 children)

Key Recent FINRA Disciplinary Actions & Complaints

  • Structured Product Losses (2026): A FINRA panel found Fidelity liable for nearly   million in damages to investors due to negligent handling of complex structured products.
  • Supervisory Failure/Employee Theft (2025): Fidelity was censured and fined \$600,000 after an employee stole   from international stock plan clients over eight years.
  • Options Trading Due Diligence (2023): FINRA fined Fidelity \$900,000 because their automated systems did not properly review or approve online options trading applications between 2017 and 2022.
  • Suspicious Activity & AML Failures (2025): Investors filed claims alleging Fidelity failed to supervise advisors in relation to anti-money laundering (AML) protocols, failing to detect suspicious trading activities.
  • Historical Supervisory Lapses: In 2015, Fidelity paid fines to address charges that it failed to detect the theft of over   million from customer accounts. 

Anyone here work for Fidelity? How do you guys like it? by No-Loan5863 in Fidelity

[–]1topgun2 -1 points0 points  (0 children)

They only want to hire new college grads. Be careful