Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kristy Nicol (Nicol), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nicol recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on June 14, 2023.
Complaint alleges misrepresentation of interest rate