RedFlag, Allegation and/or Complaint against Nicki Lee Beatty
Disclosure #1 for Nicki Beatty
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- Event Date: 6/23/2022
- Disclosure Type: Customer Dispute
- Resolution: Closed-No Action
- Allegations: The client alleges the representative transferred her assets to another financial institution without her authorization.
- Damage Amount Requested: $164,819.54
- Arbitration Docket Number:
- Broker Comment: I had no client interaction with the initial transfer out of funds in March of 2021. I just happen to be the most recent person the client spoke with.
Should I file a FINRA complaint against brokers like Nicki Lee Beatty?
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.
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Originally reported on November 17, 2022 @ 8:46 pm
