Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Nikolakakos (Nikolakakos), previously associated with Td Ameritrade, INC., has at least one disclosable event. These events include one customer complaint, alleging that Nikolakakos recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $543,163.00 on June 26, 2020.
Allege that between 2014-2017, reps provided unsuitable recommendations with unsuitable concentrations, with unreasonable commissions and failure to konw their customer