Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Javelin San Nicolas (San Nicolas), previously associated with Edward Jones, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that San Nicolas recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on January 19, 2021.
Without admitting or denying the findings, San Nicolas consented to the sanction and to the entry of findings that he refused to provide information and documents that were requested by FINRA in connection with an investigation into the circumstances giving rise to his termination from his former member firm.