Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Nicholson (Nicholson), currently associated with D.a. Davidson & CO., has at least one disclosable event. These events include one customer complaint, alleging that Nicholson 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 $90,000.00 on August 10, 2020.
Client expressed concern that the liquidation of her non-qualified variable annuity resulted in a $90,000 tax bill. 10/21/19 – 8/5/2020