Fidelity Brokerage Services LLC Broker Derek Roy Stock Losses Investigation

Were you the victim of Fidelity Brokerage Services LLC broker Derek Roy (CRD# 6174201) regarding stock losses? He has been registered with Fidelity Brokerage Services LLC in Merrimack, New Hampshire since 2016. 

Derek Roy Customer Complaints

Derek Roy has been the subject of one customer complaint, according to his CRD report:

October 2021. “The customer alleged that he was given incomplete information by the representative when placing a trade in his self-directed brokerage account and would not have made the trade if he had been given complete information.” The customer is seeking $600,000 in damages and the case is currently pending. The complaint was regarding common and preferred stocks.

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 Derek Roy’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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Author: Jeffrey Erez

The founder of Erez Law, Jeffrey Erez, focuses exclusively on securities arbitration and litigation. Mr. Erez passionately believes in representing aggrieved investors and obtaining justice for his clients through litigation.