ALERT!WINDSOR STREET CAPITAL Expelled For Fraudulent Scheme The Financial Industry Regulatory Authority (“FINRA”) Office of Hearing Officers issued a Default Decision #:2016048912703 on May 28, 2019, expelling Windsor Street Capital and barring two of its employees, Arthur Tacopino and Edwin Rodriguez. FINRA stated that Windsor Street, among other things, committed a fraudulent scheme which caused […]

Fidelity Brokerage Services LLC (CRD #7784, Smithfield, Rhode Island was censured and fined $350,000 by FINRA for allegedly overcharging 20,663 client accounts approximately $2.4 million. FINRA's findings stated that Fidelity Brokerage Services did not have reasonable supervisory systems or procedures to ensure that clients were charged accurate fees for accounts managed by third-party investment advisors. […]