Soreide Law Group is currently conducting an investigation into the activities of Ryan Scott Mallow (also known as Ryan Mallow) [CRD#: 2420445, Jacksonville, Florida], a previously registered broker and financial advisor. Mallow worked with Fidelity Brokerage Services LLC in Jacksonville, Florida, from June 28, 2010, to June 2, 2023. He was previously affiliated with Stratton Oakmont Inc. FINRA BrokerCheck shows that Mallow has been involved in disputes alleging misrepresentation and failure to execute, which have led to settlements paid to affected clients.
Notably, a Fidelity Brokerage Services LLC client filed FINRA Arbitration: 20-01383 about Ryan Mallow. Evidently, the client alleged that Mallow misrepresented the level of risk associated with securities in a managed account. Because of this, the client allegedly sustained damages. Therefore, on October 4, 2022, Fidelity Brokerage Services LLC settled this matter by paying the client $75,000 in damages.
Also, a client of Stratton Oakmont Inc. contested Ryan Mallow’s sales practices by filing NASD #95-04241. Supposedly, Mallow failed to execute as required. It appears that Mallow caused the client to sustain damages on equities, including common and preferred stock. Therefore, Stratton Oakmont Inc. opted to settle the matter on September 10, 1996, by compensating the client in the amount of $20,000.
Did you experience losses because of Ryan Mallow? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States, works on a contingency fee basis, and advances all costs. Mallow and brokerage firms he worked for deny accusations of sales practice violations.
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