RedFlag, Allegation and/or Complaint against NICOLAS PATRICK CALVI
Disclosure #1 for NICOLAS CALVI
- Event Date: 1/30/2017
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Denied
- Disclosure Detail :: Allegations: CLIENT CITED MISSING FUNDS IN A COMPLAINT ALLEGING FRAUDULENT ACTIVITY WITHIN ACCOUNT BETWEEN 2014 & 2015
- Damage Amount Requested: $100,000.00
- Arbitration Docket Number:
- Broker Comment: SCHWAB’S COMPLIANCE DEPARTMENT COMPLETED AN INVESTIGATION OF THE CLIENT’S COMPLAINT AND DETERMINED THE ALLEGATIONS ARE UNFOUNDED AND WITHOUT MERIT.
Should I file a FINRA complaint against brokers like NICOLAS PATRICK CALVI?
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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