NICOLE DANIELLE JERVIS

NICOLE DANIELLE JERVIS is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 8256 East Market St. Suite 136, Warren, OH, 44484.

NICOLE DANIELLE JERVIS has worked at LPL FINANCIAL LLC since December 09, 2015

Disclosure History

NICOLE DANIELLE JERVIS has 2 Disclosure Event(s).

Date: March 14, 2018
Category: Customer Dispute
Allegations: CUSTOMERS ALLEGE UNAUTHORIZED LIQUIDATION OF MUTUAL FUNDS AND PURCHASE OF AN ANNUITY.
Damage Amount Requested: $10,322.00
Settlement Amount: $412.00
Broker Comment: THE ANNUITY COMPANY ALLOWED THE CUSTOMER TO FREE LOOK THE CONTRACT AT ISSUE AND REVERSED THE COMMISSIONS PAID TO THE ADVISOR IN THE AMOUNT OF $412.

Date: April 22, 2005
Category: Customer Dispute
Allegations: CLIENT ALLEGES UNAUTHORIZED TRANSACTION
Damage Amount Requested: $11,366.81

More Information

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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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