Nicole Lynn Bolton (also known as Nicole Lynn Pageler), of Boise, Idaho, a stockbroker registered with Northwestern Mutual Investment Services LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Bolton failed to comply with FINRA’s request during an investigation. Letter of Acceptance, Waiver, and Consent No. 2023078213501 (May 15, 2024).
On March 9, 2023, NMIS reported Bolton’s voluntary termination on February 10, 2023, citing her potential involvement in an outside activity. Bolton elected to resign from the firm before its resolution of the matter. FINRA’s investigation into Bolton’s alleged participation in an undisclosed outside business activity began with the Form U5 filed by NMIS.
On March 19, 2024, FINRA requested documents from Bolton under FINRA Rule 8210, due by April 9, 2024. Bolton acknowledged receipt of this request. FINRA granted her an extension until April 23, 2024.
On April 12, 2024, FINRA reiterated the consequences of failing to comply with the Rule 8210 request, including potential sanctions and a bar from the securities industry. Still, Bolton did not provide the requested information and documents. Bolton’s refusal to comply with the regulator constituted violations of FINRA Rules 8210 and 2010.
Bolton was associated with Northwestern Mutual Investment Services LLC in Boise, Idaho from March 30, 2021, to March 9, 2023.
