Nicole Danielle Jervis of Warren Ohio a stockbroker currently registered with LPL Financial LLC is the subject of a customer initiated investment related written complaint on March 14, 2018 in which the customer sought $10,322.00 in damages supported by allegations that mutual funds had been liquidated from the customer’s investment account without the customer’s authorization in order to effect a fixed annuity purchase.
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally confirms that on April 22, 2005, a customer filed an investment related complaint concerning Jervis’ activities where the customer requested $11,366.81 in damages founded on accusations that unauthorized fixed annuity transactions were executed while Jervis was employed by Banc One Securities Corporation.
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