Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nick Polydoros (Polydoros), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Polydoros 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 $525,000.00 on February 24, 2021.
Time frame: Starting in 2018 \<char_lb_r>\, Claimants’ counsel alleges unsuitability of certain investments, and that such investments resulted in principal losses.