Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Neal Nakagiri (Nakagiri), previously associated with Npb Financial Group, LLC, has at least 5 disclosable events. These events include 5 customer complaints, alleging that Nakagiri 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 $100,000.00 on November 02, 2021.
Due Diligence failures, Breach of fiduciary duty, breach of expressed/implied contract and breach of duty of good faith and fair dealing, negligence, and failure to supervise.