Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Wasielewski (Wasielewski), currently associated with Tiaa-cref Individual & Institutional Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wasielewski recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on March 05, 2020.
The client alleges that the representative recommended a reduction in the client’s exposure to stocks and bonds on February 14, 2020 and that the representative failed to timely make these changes even after the client indicated in an email to the representative that he wanted to make the changes on March 2, 2020.