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William Shaw Resigns from Fidelity Brokerage Services

William Shaw (CRD #: 7275225), a broker registered with Fidelity Brokerage Services, resigned from that firm, according to his BrokerCheck record, accessed on May 31, 2025. If you have questions about his alleged conduct as a broker, keep reading.

Resignation from Fidelity Brokerage Services

On February 19, 2025, William Shaw resigned from Fidelity Brokerage Services following allegations that he kept inaccurate documentation concerning phone messages that he left or attempted to leave for clients, and allegations relating to whether certain clients had agreed to have him as their advisor.

FINRA Rule 2010

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

Background Information

William Shaw has passed the following exams:

  • General Securities Representative Examination – Series 7TO
  • Securities Industry Essentials Examination – SIE
  • Uniform Combined State Law Examination – Series 66

He has also worked for Fidelity Brokerage Services (CRD#:7784) and Equitable Advisors (CRD#:6627).

Kurta Law Can Help

If you worked with William Shaw and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com 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 that 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. 

 

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