Brokers: problems with FINRA inquiry after leaving Fidelity Investments?

If you were a Fidelity Investments broker who was forced to resign due to the Acclaris/ WageWorks Computer Equipment Purchase Assistance Program or Fitness Reimbursement Program which resulted in a Form U5 disclosure – contact us today.

You will receive or have already received an inquiry letter from FINRA regarding your participation in these Programs. Pursuant to FINRA Rule 8210 the regulatory agency is seeking information and documents regarding your Form U5 disclosure by Fidelity. A thorough response needs to be prepared so that it doesn’t escalate to an enforcement action and result in a public disclosure on your broker-check. Attorney Neda Ataie has successfully represented numerous brokers and has a proven track record of working with FINRA regulators.

Fidelity Investments office photo