CAROL EMMA YORK is currently employed as a Broker and/or Investment Adviser at FIDELITY BROKERAGE SERVICES LLC located at 73-575 EL PASEO SUITE C-2300, PALM DESERT, CA, 92260.

CAROL EMMA YORK has worked at FIDELITY BROKERAGE SERVICES LLC since December 06, 2012

Disclosure History

CAROL EMMA YORK has 1 Disclosure Event(s).

Date: September 11, 2017
Category: Customer Dispute
Allegations: Customer asserts that in 2015 the registered representative failed to follow her instructions to purchase certain mutual funds.
Damage Amount Requested: $9,250.00

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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