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Fidelity Investments

Controversies

Controversies tied to this brand in public sources. A listing is not a finding of fault.

Back to profile5 entries

  1. 2025

    Client-account theft and supervision failure

    FINRA fined Fidelity after an employee stole from international client accounts over multiple years, citing inadequate supervisory controls.

  2. 2025

    Delayed customer transaction processing

    Federal regulators fined and censured Fidelity over delays in completing certain customer transactions.

  3. 2016

    Questions over executive and fund investments

    A Reuters investigation raised potential conflict-of-interest questions concerning investments made by Fidelity executives and subsequent purchases by Fidelity-managed funds.

  4. 2006

    Prohibited gifts from brokerage salespeople

    Fidelity was fined after employees accepted gifts and entertainment from sales representatives of Jefferies Group in violation of company policies.

  5. 2004

    Branch document alteration and destruction allegations

    The SEC alleged that employees altered or destroyed documents at a number of Fidelity Brokerage branch offices. Fidelity paid a settlement without the dossier establishing an admission of wrongdoing.