NICOLAS PATRICK CALVI at CHARLES SCHWAB & CO., INC. – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 5928615
NICOLAS PATRICK CALVI is an Investment Adviser, associated with CHARLES SCHWAB & CO., INC. located at Bellevue, WA. NICOLAS CALVI’s Central Registration Depository (CRD) number is 5928615 and the FINRA Profile can be found at – https://brokercheck.finra.org/individual/summary/5134112.

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.
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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.

Update - 2022.11.15If you have suffered investment losses that may have been caused by NICOLAS PATRICK CALVI’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!

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Frequently Asked Questions About NICOLAS PATRICK CALVI

What is NICOLAS CALVI's Central Registration Depository (CRD) Number?

5928615

Which firm is NICOLAS PATRICK CALVI associated with?

CHARLES SCHWAB & CO., INC.

Where is NICOLAS CALVI located?

11100 NE 8th St., Bellevue, WA, 98004-4465

Where can I find more details about NICOLAS CALVI's Investment Firm?

Visit https://brokercheck.finra.org/firm/summary/5393 to read a detailed report for CHARLES SCHWAB & CO., INC.

Are there any disclosures, allegations or complaints filed against NICOLAS PATRICK CALVI?

Yes. There are disclosures, allegations, or complaints filed against NICOLAS PATRICK CALVI. Click here to view all details

Where can I download a detailed FINRA report for NICOLAS CALVI?

Click here to download a detailed FINRA report for NICOLAS CALVI

Is it safe to do business with NICOLAS PATRICK CALVI?

We’re not sure. Please research NICOLAS CALVI’s disclosures, allegations and complaints before taking a decision

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