Articles Tagged with Nicholas Schlagheck

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Schlagheck (Schlagheck), previously associated with Cape Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Schlagheck recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $263,307.00 on May 20, 2025.

Customer alleges that the CLO Interval Mutual Fund investment was highly concentrated and unsuitable. The investments occurred between June 15, 2023 and July 16, 2024.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Schlagheck (Schlagheck), currently associated with Cape Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Schlagheck recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $15,696.80 on May 15, 2025.

Customer claims that the investment in Eagle Point Credit Interval Fund was misrepresented and unsuitable due to its risk. Additionally, the customer claims that she never met with or spoke to Nicholas Schlagheck and that all dealings were  with John Schlagheck, Nicholas’ father, who is barred from the industry.