Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Stone (Stone), previously associated with Fidelity Brokerage Services LLC, has at least 3 disclosable events. These events include 2 customer complaints, one tax lien, alleging that Stone recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $2,705,745.64 on December 13, 2024.
Customer alleges that she loaned money to the former employee and that she has not been repaid. Only $30,000 of claimed damages relate to conduct prior to former employee’s termination.
