Tag Archives: Eric Nichols

FINRA Fines Morgan Stanley Stockbroker For Settling Away

Eric Nichols of Rolling Hills California a stockbroker formerly employed by Morgan Stanley has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Nichols resolved a customer’s investment related dispute outside the firm’s auspices. Letter of Acceptance Waiver and Consent […]

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