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Adrian Goding Fired from Fidelity Brokerage Services

Adrian Goding (CRD #: 7282393) was fired from his firm, according to his BrokerCheck record, accessed on July 31, 2022. Keep reading to learn more about his conduct as a broker.

Discharge from Fidelity Brokerage Services

On June 1, 2022, Adrian Goding was fired from Fidelity Brokerage Services following an allegation that he inaccurately documented that he had called clients when there were no records of these calls.

FINRA Rule 2010 and Rule 4511

Many forms of broker misconduct violate FINRA Rule 2010, which requires brokers to uphold high standards of commercial honor and just and equitable principles of trade. 

FINRA Rule 4511 requires firms to maintain accurate books and records. These records should include any communications with customers, which brokers should only conduct through approved channels. 

Background Information

Adrian Goding has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • Series 7TO – General Securities Representative Examination
  • SIE – Securities Industry Essentials Examination

In the past, he has worked for Fidelity Brokerage Services (CRD#:7784) and TD Ameritrade (CRD#:7870).

Kurta Law Can Help

If you worked with Adrian Goding and you have concerns about your investments, please contact us today at 877-600-0098 or for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.