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Regulatory Rule Revival: Massachusetts High Court Validates Heightened Broker-Dealer Fiduciary Standard

With a ruling issued on August 25, 2023, the Supreme Judicial Court of Massachusetts (the “Massachusetts Supreme Court”)[i] revived the Massachusetts…

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Fidelity Fined $750,000 in Massachusetts for Lax Options Trading Approvals

The Massachusetts Securities Division fined Fidelity for rubber-stamping options trading applications.

United statesWilliam galvinMassachusetts securities divisionFidelity brokerage servicesState william galvin

Galvin Fines Fidelity For Rubber-Stamping Options Applications

Massachusetts Commonwealth Sec. Galvin fined Fidelity Brokerage Services for allegedly "rubber-stamping" options trading applications from customers.

United statesBay stateMichael aaltoWilliam galvinMassachusetts securities divisionGalvin securities divisionFidelity brokerage serviceCentral review teamSecurities division

Massachusetts fines Fidelity $750,000

Massachusetts fined Fidelity $750,000 over the company's alleged past practice of 'rubber-stamping' clients' applications to trade options.

United statesWilliamf galvinFidelity brokerage servicesMassachusetts securities divisionMassachusetts secretaryCommonwealth williamWall street

Massachusetts fines Fidelity $750,000 for rubber-stamping options trading applications

Massachusetts has fined Fidelity Brokerage Services $750,000 over the company's past practice of rubber-stamping options trading applications.

Bay stateUnited statesWilliam galvinFidelity brokerage servicesGalvin securities divisionMassachusetts securities divisionSecurities divisionCommonwealth william galvinMassachusetts securitiesWilliam galvinBill galvinFidelity brokerage servicesOptions tradingMassachusetts securities division

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