RedFlag, Allegation and/or Complaint against GREGORY DAN NICHOLAS
Disclosure #1 for GREGORY NICHOLAS
- Event Date: 5/17/2000
- Disclosure Type: Criminal
- Resolution: Final Disposition
- Criminal Charges :: Charges: 257.6256D – OPERATING – WHILE INTOXICATED/IMPAIRED/WITH THE. FPVAR. PRESENCE OF A CONTROLLED SUBSTANCE -. 3RD OFFENSE
- Disposition: Convicted
- Broker Comment: DRUNK DRIVING 2ND OFFENSE. FINAL DISPOSITION COMPLETED. PROBATION ENDED IN 2006. COURT FEES OF $1500 PAID AS OF MAY 2001. THE CHARGE AND CONVICTION WERE THE SAME OFFENSE
Should I file a FINRA complaint against brokers like GREGORY DAN NICHOLAS?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
Frequently Asked Questions About GREGORY DAN NICHOLAS
What is GREGORY NICHOLAS's Central Registration Depository (CRD) Number?
Which firm is GREGORY DAN NICHOLAS associated with?
Where is GREGORY NICHOLAS located?
Where can I find more details about GREGORY NICHOLAS's Investment Firm?
Are there any disclosures, allegations or complaints filed against GREGORY DAN NICHOLAS?
Where can I download a detailed FINRA report for GREGORY NICHOLAS?
Is it safe to do business with GREGORY DAN NICHOLAS?
All information displayed on this page is publicly available information under SEC guidelines, in compliance with 5 U.S.C. § 552 (Freedom of Information Act) and 5 U.S.C. § 552a (the Privacy Act) and is published unmodified, as provided by FINRA. BrokerAudit.com does not modify the data and makes no claims regarding its accuracy, nor will entertain any request to remove any entry. The inclusion of a person or entity in the BrokerAudit Database is not intended to suggest or imply that they have engaged in illegal or improper conduct related to FINRA. BrokerAudit.com intends to offer a platform where suspicious activities can be shared and discussed in a secure environment.
Originally reported on November 17, 2022 @ 8:47 pm