Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Nitz (Nitz), currently associated with Steward Partners Investment Solutions, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Nitz recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $19,164.54 on May 21, 2024.
According to the former BD, the clients alleged the account did not perform well and fees were excessive.