Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nina Palmer (Palmer), currently associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Palmer recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on April 07, 2020.
Client alleged she specifically told the advisor she needed the distribution from her ira to be for the 2019 tax year but the distribution did not occur until January 2, 2020, which cost her thousands of dollars. The activity occurred between December 19, 2019, through January 2, 2020.