Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frank Nickey (Nickey), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nickey recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on July 21, 2020.
Claimant alleges that sometime after 2009, FA recommended unsuitable investments in Puerto Rican Bonds and MLP mutual funds.