Nick Morgan Campbell, of Irving, Texas, a stockbroker with Raymond James Financial Services, Inc., was terminated from employment based upon allegations that Campbell committed violations of Raymond James’ policies and procedures.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Campbell has been identified in three customer initiated investment related disputes containing allegations of his misconduct while associated with LPL Financial, LLC and Banc of America Investment Services, Inc. Specifically, on February 3, 2003, a customer filed an investment related written complaint involving Campbell’s conduct, in which the customer requested $12,380.52 in damages based upon allegations that Campbell effected mutual fund transactions which were not consistent with the customer’s investment objectives.
Subsequently, on April 14, 2003, a customer filed an investment related written complaint regarding Campbell’s activities, based upon allegations that Campbell was responsible for the customer’s lackluster investment performance in mutual fund products. Moreover, on November 21, 2016, a customer filed an investment related written complaint involving Campbell’s conduct, in which the customer requested $750,000.00 in damages based upon allegations that between June 24, 2008, and November 17, 2016, Campbell made misrepresentations to the customer concerning alternative investments and real estate security products, and effected unsuitable transactions in the customer’s account.
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