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Broker Misconduct Investigation: Kelly Johnston (Fidelity Brokerage Services)

If you have lost money in the stock market due to fraud, misrepresentation, negligence, or for other reasons, we can help you. We have successfully recovered over $250 million in FINRA securities arbitrations.*

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Updated on: June 4, 2024

National investment loss lawyers KlaymanToskes is investigating broker Kelly Johnston (CRD# 5001042) of Fidelity Brokerage Services after a complaint by an SEC-registered public company was filed with the Financial Industry Regulatory Authority (“FINRA”), alleging $25,000,000 in damages due to failure to disclose that fixed income mutual funds could lose principal and that its investments in several fixed income mutual funds were unsuitable because they were subject to potential principal loss.

According to FINRA BrokerCheck, broker Kelly Johnston is currently registered with Fidelity Brokerage Services and Fidelity Personal and Workplace Advisors in Covington, KY. 

Investors that suffered losses with broker Kelly Johnston are encouraged to contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or by email at lawrence@klaymantoskes.com to discuss recovery options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.

Investment Losses with Broker Kelly Johnston at Fidelity Brokerage Services?

Investment Losses with Broker Kelly Johnston at Fidelity Brokerage Services?

Contact KlaymanToskes

Current Investigations About Broker Kelly Johnston That You Should Know as an Investor:

KlaymanToskes is a leading national investment loss law firm that represents the interests of investors throughout the world who have suffered losses due to broker misconduct, investment fraud, and securities violations. 

The article linked below contain important information relating to KlaymanToskes’ investigations of broker Kelly Johnston:

If you suffered losses with broker Kelly Johnston, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation.

The firm has helped recover over $600 million* for investors, and can help you determine if your loss is due to financial advisor misconduct, unsuitable investment advice, and/or other securities violations.

*Exclusive of attorneys fees and costs.

Signs Investors Should Look Out For About Their Brokerage Accounts

As an investor, there are a few signs that you should look out for if you believe you may have a claim against broker Kelly Johnston. These signs could potentially indicate misconduct, negligence, or investment fraud. Investors are encouraged to contact our firm immediately if you have experienced any of the following: 

  • You have substantial losses in your investment accounts
  • You received a call, email, or other communication from your broker’s supervisor or manager regarding your portfolio
  • Your broker misrepresented investment opportunities, or failed to disclose details about investments
  • You notice unauthorized transactions in your investment accounts
  • Your broker is not returning your calls or emails
  • You filed a complaint with your brokerage firm that has not been resolved

Some investors have close relationships with their brokers due to the time and trust built over the course of their investment relationship. However, it is crucial to remember that financial decisions should be based on careful analysis and due diligence rather than solely relying on personal relationships.

According to FINRA, brokerage firms such as Fidelity Brokerage Services are responsible for the supervision of all of the activities of their registered financial advisors. Investors may be entitled to a financial recovery if their firm failed to supervise the representative managing their account, and/or if their financial advisor made unsuitable investment recommendations.

Engaging the services of an experienced securities attorney to evaluate your specific circumstances is strongly advised. At KlaymanToskes, our team of experienced securities attorneys has a deep understanding of this complex area of law, allowing us to provide invaluable insight and tailored guidance that directly addresses your individual needs.

If you suffered losses with broker Kelly Johnston, or have concerns regarding your investment portfolio at Fidelity Brokerage Services, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation to discuss your recovery options.