Nicholas Allen Kaplenski

Nicholas Allen Kaplenski is currently employed as a Broker and/or Investment Adviser at EDWARD JONES located at 422 NORTH HOWE STREET, SOUTHPORT, NC, 28461.

Nicholas Allen Kaplenski has worked at EDWARD JONES since September 07, 2012

Disclosure History

Nicholas Allen Kaplenski has 1 Disclosure Event(s).

Date: October 05, 2015
Category: Customer Dispute
Allegations: Client alleges the liquidations of three Aviva annuities in January 2014 were unauthorized.
Damage Amount Requested: $5,000.00
Settlement Amount: $20,473.00
Broker Comment: After completion of the firm's investigation, client's claim was resolved in the amount of $20,473.00. Financial advisor contributed to the resolution in the amount of $10,200.00.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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