RAY W NISHIKAWA is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 6440 S 3000 E, COTTONWOOD, UT, 84121.
RAY W NISHIKAWA has worked at LPL FINANCIAL LLC since August 29, 2011
Disclosure History
RAY W NISHIKAWA has 1 Disclosure Event(s).
Date: July 16, 2013 Category: Customer Dispute Allegations: CUSTOMER ALLEGES AN UNSUITABLE VARIABLE ANNUITY PURCHASE BECAUSE FINANCIAL ADVISOR FAILED TO DISCLOSE COMMISSIONS HE RECEIVED. Broker Comment: CUSTOMER WAS ABLE TO FREE-LOOK THE VARIABLE ANNUITY POLICY WITHOUT ANY PENALTY. FIRM'S INVESTIGATION INTO THIS MATTER REVEALED NO WRONGDOING ON THE PART OF THE FINANCIAL ADVISOR. MR. NISHIKAWA MAINTAINS THAT THE PRODUCT WAS SUITABLE AND APPROPRIATE AND DENIES ALL CLAIMS AS ALLEGED.
More Information
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