FINRA recently announced that Sheila Dawnell Dowling, formerly of Fidelity Brokerage Services, LLC in Keller, Texas, has been barred from association with any FINRA member in any capacity.
Without admitting or denying the findings, Dowling consented to the findings that she exercised discretion in a customer’s account, and effected transactions and electronic fund transfers primarily involving the purchase of small equity positions and the writing of covered calls against these positions. The findings further stated although Dowling had a power of attorney from the customer, her firm had not accepted the customer’s account as discretionary and the firm had denied Dowling trading authority over the customer’s account.
According to Crouse’s FINRA Broker Report (CRD), prior to working at Fidelity Brokerage Services, LLC, she had acted as a financial advisor at Lincoln Financial Advisors Corporation.
If you have questions about investments you made with Sheila Dawnell Dowling and Fidelity Brokerage Services, LLC, or if you believe that you have been the victim of a securities fraud, The White Law Group may be able to help. To speak to a securities attorney, please call our Chicago office at 312-238-9650 for a free consultation.
The White Law Group is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida.
For more information on The White Law Group, visit http://whitesecuritieslaw.com.
Tags: Abiliene, Arlington, broker fraud, Dallas, Fidelity Brokerage Services, FINRA, Fort Worth, Frisco, investment losses, investor protection, Keller, NASD, Norman, Plano, securities arbitration, Securities Attorney, Securities Lawyer, Sheila Dawnell Dowling, Texas, Waco Last modified: December 6, 2022
