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Investor Alleges Sara Scaldini Failed to Follow Instructions

Sara Scaldini (CRD #: 4944126), a broker registered with Fidelity Brokerage Services, was recently the subject of an investor dispute, according to her BrokerCheck record, accessed on February 8, 2023. Keep reading if you have questions about her alleged conduct as a broker.

Investor Dispute

On October 3, 2022, an investor filed a dispute alleging Sara Scaldini failed to follow their instructions, leading to market losses. The client sought $3 million but the firm denied the dispute.

Investors should be aware, however, that firms don’t need to allow an external review before denying a dispute. Investors can still pursue FINRA arbitration following a denial and may be able to recover their funds.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Sara Scaldini has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 31 – Futures Managed Funds Examination
  • Series 7 – General Securities Representative Examination

Sara Scaldini is a registered broker in 28 states and the District of Columbia. She is also a registered investment adviser in Florida and Texas.

She has also worked for the following firms:

  • Strategic Advisers (CRD#:104555)
  • Morgan Stanley Smith Barney (CRD#:149777)
  • Morgan Stanley & Company (CRD#:8209)
  • Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691)

Kurta Law Can Help

If you worked with Sara Scaldini 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.