Laura-Marie Roy (CRD #7546876) Has Employment Separation and Financial Disclosures on FINRA BrokerCheck

Laura-Marie Roy (CRD #7546876) was previously registered with Fidelity Brokerage Services LLC. We reviewed her BrokerCheck report on March 16, 2026. It reflects one employment separation disclosure and one financial disclosure. If you worked with Laura-Marie Roy and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Employment Separation

Laura-Marie Roy’s FINRA BrokerCheck Report reflects one employment separation disclosure. A summary of the disclosure is below:

Laura-Marie Roy FINRA BrokerCheck states that Fidelity Brokerage Services LLC discharged her on January 17, 2026. The firm reported that she entered four client appointments on an advisor’s schedule when her interactions did not support those entries. BrokerCheck says the entries affected her performance metrics.

Financial Disclosures

Laura-Marie Roy’s FINRA BrokerCheck Report reflects one financial disclosure. A summary of the disclosure is below:

Laura-Marie Roy FINRA BrokerCheck reports one final financial disclosure. BrokerCheck lists a compromise with T-Mobile USA, Inc. dated March 15, 2022. The original amount owed was $622. BrokerCheck says the matter was settled the same day, and the reported settlement payment was $279.93.

Rule Summary #1: FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade)

FINRA Rule 2010 requires members to observe high standards of commercial honor and just and equitable principles of trade. When a disclosure involves entries that affected performance metrics, investors may question whether the conduct met that standard.

Rule Summary #2: FINRA Rule 3110 (Supervision)

FINRA Rule 3110 requires firms to maintain a supervisory system and written procedures reasonably designed to achieve compliance with securities laws and FINRA rules. A termination tied to internal appointment entries can raise questions about how activity was reviewed and supervised.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

Reg BI has four key obligations:

Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on her FINRA BrokerCheck report, Laura-Marie Roy:

Is not currently registered with a brokerage firm.

Has passed the Securities Industry Essentials (SIE) exam. Laura-Marie Roy has also passed Series 7TO and Series 63.

Was previously registered with Fidelity Brokerage Services LLC.

Kurta Law Can Help

If you worked with Laura-Marie Roy and have concerns about her activity, Kurta Law may be able to help you evaluate your legal options. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful resources: Securities Attorney | What is Securities Fraud

For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. Our firm represents clients nationwide in securities arbitration and related disputes. If you believe a broker or firm mishandled your account, an attorney can review the facts and explain possible next steps.