Were you the victim of Fidelity Brokerage Services LLC broker Kelly Johnston (CRD# 5001042)? He has been registered with Fidelity Brokerage Services LLC in Covington, Kentucky, since 2008, and Fidelity Personal And Workplace Advisors in Covington, Kentucky, since 2019.
Kelly Johnston Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
August 2023. “This institutional customer, an SEC-registered public company, contends that the representative did not disclose that fixed income mutual funds could lose principal and that its investments in several fixed income mutual funds were unsuitable because they were subject to potential principal loss.” The customer is seeking $25,000,000 in damages, and the case is currently pending. The complaint was regarding mutual fund losses.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Fidelity Brokerage Services LLC may be liable for investment or other losses suffered by Kelly Johnston’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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