Will an Ex-Fidelity Advisor's Reg BI Suit Catch the SEC's Eye?

Analysis May 31, 2024 at 03:51 PM
Share & Print

What You Need To Know

  • An advisor sued Fidelity, saying it fired him after he blew the whistle on its attempts to pressure advisors to sell products not in clients' best interest.
  • The SEC or law enforcement agencies could investigate the claim, lawyers say.
  • The case could have implications for the broader financial services industry.
NOT FOR REPRINT

© 2025 ALM Global, LLC, All Rights Reserved. Request academic re-use from www.copyright.com. All other uses, submit a request to [email protected]. For more information visit Asset & Logo Licensing.

Related Stories

Resource Center