Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Taggart (Taggart), currently associated with Imst Distributors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Taggart recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $300,000.00 on March 03, 2023.
Claimant alleges they were recommended and overconcentrated in unsuitable investments.