DID NICO RAPHAEL SHARP CAUSE YOU INVESTMENT LOSSES?
Nico Sharp Formerly With Citigroup Global Markets, J.P. Morgan Securities And TD Ameritrade Has 2 Customer Complaints For Alleged Broker Misconduct
Who is Nico Sharp formerly with Citigroup Global Markets?
Nico Sharp (CRD #5988268) who was formerly registered with Citigroup Global Markets and located in Tustin, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Citigroup Global Markets, Nico Sharp was associated with J.P. Morgan Securities, TD Ameritrade and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Nico Sharp Customer Complaints
Nico Sharp has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Nico Sharp’s customers’ complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against Citigroup Global Markets for investment losses caused by Nico Sharp’s alleged misconduct.
Allegations Against Nico Sharp
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Claimant alleged that financial advisor, Nico Raphael Sharp invested over $1 million on behalf of the Trust in Chronos Capital Partners, LLC, a company Mr. Sharp co-founded, without disclosing his connection to the company. Claimant further alleged unsuitability, fraud, and breach of fiduciary duty against Mr. Sharp, who left the employ of CGMI in connection with investment in Chronos.
- Nico Sharp’s alleged failure to follow client instructions.
Nico Sharp Red Flags & Your Rights As An Investor
Of course, Nico Sharp 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 Nico Sharp at Citigroup Global Markets, J.P. Morgan Securities, and TD Ameritrade on alert to review carefully the activity and performance of their accounts and question whether Nico Sharp has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Citigroup Global Markets, J.P. Morgan Securities, and TD Ameritrade also raises questions about the brokerage firms’ 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 Citigroup Global Markets Due To Nico Sharp
If you have questions about Citigroup Global Markets, J.P. Morgan Securities, TD Ameritrade, and/or Nico Sharp 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.