The Code of Ethics provides guidance for personal investment activity and other activities that have the
potential to create actual or apparent conflicts of interest between covered employees and the funds
managed by Fidelity. A broker is an individual or firm that acts as an intermediary between an investor
and a securities exchange.
As well as executing client orders, brokers may provide investors with research, investment plans and
market intelligence. They may also cross-sell other financial products and services their brokerage firm
offers, such as access to a private client offering that provides tailored solutions to high net worth
clients. In the past, only the wealthy could afford a broker and access the stock market.
If you lost money because of bad advice, or mismanagement of funds or did unlawful and unethical
things. Investors can sue their stock brokers over negligence through civil lawsuits and arbitration. You
could still have the duty to recover your losses even if there was not harmful intent associated with the
brokers negligence. Filling a claim against the broker means going through arbitrage. The most common
cases against brokers include churning, negligence etc