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Kristy Nicol Of LPL Financial LLC Has 3 Customer Complaints For Alleged Broker Misconduct

Who is Kristy Nicol of LPL Financial LLC?

Kristy Nicol

Kristy Nicol (CRD #2778038) who is currently registered as a broker and investment adviser with LPL Financial LLC and located in Estero, Florida, is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Kristy Nicol was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Kristy Nicol Customer Complaints

Kristy Nicol has been the subject of 3 customer complaints that we know about to recover investment losses. One customer complaint was settled by LPL Financial in favor of the investor. LPL Financial and Raymond James denied two other customer complaints and the investors took no further action.

Allegations Against Kristy Nicol

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses follows:

  • Unreasonable fees associated with annuity riders.
  • Unauthorized withdrawals of funds.
  • Misrepresentations related to private placement investment.

Kristy Nicol Red Flags & Your Rights As An Investor

Of course, Kristy Nicol did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Kristy Nicol at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Kristy Nicol has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

Did You Lose Money Because of Broker Misconduct?

best investment fraud lawyers

If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At LPL Financial LLC Due To Kristy Nicol

If you have questions about LPL Financial LLC and/or Kristy Nicol and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Author Photo

Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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