RedFlag, Allegation and/or Complaint against NICOLAS WILLIAMS
Disclosure #1 for NICOLAS WILLIAMS
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- Event Date: 6/7/2021
- Disclosure Type: Customer Dispute
- Resolution: Denied
- Allegations: The complainant alleges that in 2021, she gave the proceeds of the sale of her business to the rep and doesn’t know what was done with them, has triple leveraged positions in her account that are inappropriate her and was sold a life insurance policy that is unsuitable. She alleges to have been misled and taken advantage of so that commissions could be attained.
- Damage Amount Requested: $100,000.00
- Arbitration Docket Number:
- Broker Comment: Internal case #202106090103.
Should I file a FINRA complaint against brokers like NICOLAS WILLIAMS?
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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