Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Nowakowski (Nowakowski), currently associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Nowakowski recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on April 04, 2025.
The client alleged that he instructed his advisor not to rebalance account with cash from his settlement account needed to repurchase a house. The corrective trades caused a loss. Activity date was April 4, 2025 through April 7, 2025.