Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Webster (Webster), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Webster recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on November 04, 2020.
Client alleged changes authorized in an email to her financial advisor in February 2020 were not completed. Based on the claim, per receipt of client’s letter on November 4, 2020, client requests that her accounts be restored to their January 2, 2020 values.