RedFlag, Allegation and/or Complaint against WARREN Nigel NASTIVAR
Disclosure #1 for WARREN NASTIVAR
- Event Date: 11/16/2020
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Closed-No Action
- Disclosure Detail :: Allegations: THE CLIENT ALLEGED THE REPRESENTATIVE FAILED TO FOLLOW HIS INVESTMENT INSTRUCTIONS RESULTING IN MISSED GAINS OF APPROXIMATELY $39,000. ALLEGED DATES: 11/04/2020
- Damage Amount Requested: $39,000.00
- Arbitration Docket Number:
- Broker Comment: AFTER RESEARCH BY THE FIRM, IT WAS DETERMINED THAT THE REPRESENTATIVE’S ACTIONS WERE IN ACCORDANCE WITH THE FIRM’S POLICIES AND PROCEDURES. THERE WAS NO INDICATION OF ANY WRONGDOING BY THE REPRESENTATIVE.
Should I file a FINRA complaint against brokers like WARREN Nigel NASTIVAR?
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 @ 9:31 pm