ERC721

NASD fined four Fidelity broker-dealers a total of $3.75 million for improperly maintaining NASD registrations for 1,100 individuals, failing to assign registered supervisors to 1,000 individuals, failing to retain the email of 1,900 registered individuals, and other electronic recordkeeping failures. For more info visit https://www.investmentexecutive.com/news/from-the-regulators/nasd-fines-four-fidelity-affiliated-dealers-us3-75-million/

Name

454

Owner

0x581b3d2CdCd3911d9Bbf503550C3f6C1f3c997b1

ID#454

Rarity

MID:34%

Parent Company

Fidelity Investments

EX:MAX

Company

Fidelity Distributors Corp. et al.

EX:MAX

Violation

Financial Market Violations

X-HI:14%

Penalty

$3,750,000.00

EX:MAX

Year

2007