Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nikki Marshall (Marshall), currently associated with Neuberger Berman Bd LLC, has at least one disclosable event. These events include one customer complaint, alleging that Marshall recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on December 11, 2023.
Claimants have been investment advisory clients of Respondent for more than fifteen years. They allege that they incurred damages as a result of Respondents’ provision of erroneous supplemental monthly performance reports from December 2022 through October 2023. Respondents consider the claims to be entirely without merit and intend to vigorously defend themselves.