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Nicholas Junta Of Northwestern Mutual Investment Services Has A Customer Complaint For Alleged Broker Misconduct

Who is Nicholas Junta of Northwestern Mutual Investment Services?

Nicholas Junta (CRD #4529794) who is currently registered with Northwestern Mutual Investment Services and located in White Plains, New York is a subject of one of our many securities industry sales practice abuse investigations.

Nicholas Junta Customer Complaint

Nicholas Junta has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were upon the transfer of their assets from external institutions to an advisory platform with the Firm, a client alleged that Nicholas Junta did not ask her permission, nor did he explain to her that he would rebalance her entire portfolio upon implementation of their advisory account. The client also alleged that Mr. Junta did not explain the resulting capital gains tax ramifications of the portfolio implementation and that it was not suitable. Nicholas Junta’s customer complaint was settled in favor of the investors.

Nicholas Junta Red Flags & Your Rights As An Investor

Of course, Nicholas Junta 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 Nicholas Junta at Northwestern Mutual Investment Services on alert to review carefully the activity and performance of their accounts and question whether Nicholas Junta has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Northwestern Mutual Investment Services 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.

File A Claim To Recover Your Investment Losses At Northwestern Mutual Investment Services Due To Nicholas Junta

If you have questions about Northwestern Mutual Investment Services and/or Nicholas Junta 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.

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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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