JAMES KENNETH NICHOLS is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 2250 E 73 STREET SUITE 650, TULSA, OK, 74136.
JAMES KENNETH NICHOLS has worked at LPL FINANCIAL LLC since November 29, 2017
Disclosure History
JAMES KENNETH NICHOLS has 1 Disclosure Event(s).
Date: October 24, 2012 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT SHE WAS NOT GIVEN A PROSPECTUS FOR THE VARIABLE ANNUITY SOLD TO HER, AND IT WAS MISREPRESENTED TO GUARANTEE 7% OVER TEN YEARS. SHE HAS SINCE DISCOVERED THAT THE GUARANTEE DID NOT APPLY TO THE LAST FOUR YEARS OF THE CONTRACT. Settlement Amount: $25,000.00 Broker Comment: ING UNILATERALLY SETTLED THIS COMPLAINT WITHOUT MY PARTICIPATION. I DID NOT CONTRIBUTE TO THE SETTLEMENT.
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